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FRANK ROCCO v. XAVIER SERNA

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Filed 2/14/19 Rocco v. Serna CA5

NOT TO BE PUBLISHED IN THE OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

FIFTH APPELLATE DISTRICT

FRANK ROCCO,

Plaintiff and Appellant,

v.

XAVIER SERNA,

Defendant and Respondent.

F074846

(Super. Ct. No. BCV-15-101607)

OPINION

THE COURT*

APPEAL from a judgment of the Superior Court of Kern County. Lorna H. Brumfield, Judge.

Frank Rocco, in pro. per., for Plaintiff and Appellant.

Xavier Becerra, Attorney General, William C. Kwong, Assistant Attorney General, Misha D. Igra and Laraya M. Parnell, Deputy Attorneys General, for Defendant and Respondent.

-ooOoo-

Appellant, Frank Rocco, filed an action against respondent, correctional officer Xavier Serna, for negligence in failing to protect appellant from being attacked by his cellmate. Respondent filed a demurrer to the complaint based on appellant’s failure to timely submit a claim under the Government Claims Act (Gov. Code, § 810 et seq. (the Act)). The court sustained the demurrer and dismissed the complaint without leave to amend.

Appellant challenges the trial court’s ruling on appeal. He concedes that he did not timely file a claim under the Act. However, he alleges for the first time on appeal that he was excused from the timely filing of a claim based on his incapacitation resulting from the injuries suffered in the attack. Upon review, we affirm.

FACTUAL AND PROCEDURAL BACKGROUND

On November 18, 2015, appellant filed a personal injury complaint against respondent and North Kern State Prison. Appellant alleged that while he was incarcerated in North Kern State Prison, he warned respondent that he feared for his safety due to threats from his cellmate. On September 2, 2013, appellant’s cellmate attacked him while he was sleeping, and appellant suffered permanent vision damage, physical impairment, mental suffering, and memory loss as a result of the attack. Appellant claimed that respondent was negligent in failing to protect him from his cellmate.

Appellant filed a claim with the California Victim Compensation and Government Claims Board (Board) on August 2, 2015, nearly two years after the assault. On September 3, 2015, the Board denied the application because the claim was filed more than six months from the date of the incident that was the basis of the claim. The Board further noted that it was too late for it to consider an application for leave to present a late claim.

Respondent demurred to the complaint based on appellant’s failure to comply with the mandatory claim presentation requirement, and failure to allege facts excusing his compliance. Appellant filed an opposition to the demurrer, but his opposition did not address his failure to file a timely claim under the Act. The superior court sustained the demurrer without leave to amend because appellant neither complied with the Act nor offered any amendment to the complaint that would cure the defect. On September 26, 2016, the superior court entered judgment, and dismissed the action with prejudice in favor of respondent. On November 28, 2016, appellant filed a notice of appeal.

DISCUSSION

I. Standard of Review

A demurrer is properly sustained when “[t]he pleading does not state facts sufficient to constitute a cause of action.” (Code Civ. Proc., § 430.10, subd. (e).) “The absence of any allegation essential to a cause of action renders it vulnerable to a general demurrer. A ruling on a general demurrer is thus a method of deciding the merits of the cause of action on assumed facts without a trial.” (Linder v. Thrifty Oil Co. (2000) 23 Cal.4th 429, 437, fn. 4.)

“ ‘In reviewing an order sustaining a demurrer, we examine the operative complaint de novo to determine whether it alleges facts sufficient to state a cause of action under any legal theory.’ ” (King v. CompPartners, Inc. (2018) 5 Cal.5th 1039, 1050 (King); T.H. v. Novartis Pharmaceuticals Corp. (2017) 4 Cal.5th 145, 162.) “If the demurrer was sustained without leave to amend, we consider whether there is a ‘reasonable possibility’ that the defect in the complaint could be cured by amendment.” (King, supra, 5 Cal.5th at p. 1050.) The burden is on the plaintiff to prove that amendment could cure the defect. (Ibid.)

“ ‘[I]t is not the ordinary function of a demurrer to test the truth of the plaintiff’s allegations or the accuracy with which he describes the defendant’s conduct. A demurrer tests only the legal sufficiency of the pleading. [Citation.] It “admits the truth of all material factual allegations in the complaint …; the question of plaintiff’s ability to prove these allegations, or the possible difficulty in making such proof does not concern the reviewing court.” ’ ” (Quelimane Co. v. Stewart Title Guaranty Co. (1998) 19 Cal.4th 26, 47.) We similarly accept as true the contents of exhibits attached to the complaint. (See, e.g., Barnett v. Fireman’s Fund Ins. Co. (2001) 90 Cal.App.4th 500, 505; Frantz v. Blackwell (1987) 189 Cal.App.3d 91, 94 [“[E]videntiary facts found in recitals of exhibits attached to a complaint or superseded complaint … can be considered on demurrer.”].)

On appeal, a resulting judgment of dismissal is reviewed independently. (Roy Allan Slurry Seal, Inc. v. American Asphalt South, Inc. (2017) 2 Cal.5th 505, 512.) “ ‘ “ ‘[W]e accept as true all the material allegations of the complaint’ ” ’ [citation], but do not ‘assume the truth of contentions, deductions or conclusions of law’ [citation].” (Ibid.)

II. Government Claims Act

A. Governing Law

Before suing a public entity, the plaintiff must present a timely written claim for damages to the entity. (§ 911.2; Shirk v. Vista Unified School Dist. (2007) 42 Cal.4th 201, 208-209 (Shirk); State of California v. Superior Court (Bodde) (2004) 32 Cal.4th 1234, 1239 (Bodde).) Similarly, a claim against a public employee for injuries resulting from acts or omissions in the course of his or her employment must also be presented to the entity. (§ 950.2; People ex rel. Harris v. Rizzo (2013) 214 Cal.App.4th 921, 939.)

“Timely claim presentation is not merely a procedural requirement, but is, [] ‘ “ ‘a condition precedent to plaintiff’s maintaining an action against defendant.’ ” ’ ” (Shirk, supra, 42 Cal.4th at p. 209; Bodde, supra, 32 Cal.4th at p. 1240.) Accordingly, it is an element of the plaintiff’s cause of action and complaints that do not allege facts demonstrating either that a claim was timely presented or that compliance with the Act is otherwise excused are subject to a general demurrer. (Bodde, at pp. 1240, 1245.)

“Under section 911.2, ‘[a] claim relating to a cause of action for death or for injury to person or to personal property … shall be presented … not later than six months after the accrual of the cause of action.’ ” (Bodde, supra, 32 Cal.4th at p. 1239.) The date of accrual of a cause of action marks the starting point for calculating the claims presentation period. (§ 901; K.J. v. Arcadia Unified School Dist. (2009) 172 Cal.App.4th 1229, 1239.) The general rule is that a cause of action accrues when it is “complete with all of its elements.” (Norgart v. Upjohn Co. (1999) 21 Cal.4th 383, 397.)

Should the claim not be presented within the applicable time period, litigants can petition for leave to present a late claim within the one-year period from the accrual of the cause of action. (§ 911.4, subds. (a), (b); Bodde, supra, 32 Cal.4th at p. 1245.) The reason for the one-year statutory requirement is to “protect[] a governmental entity from having to respond to a claim many years after the accrual of the action.” (Hernandez v. County of Los Angeles (1986) 42 Cal.3d 1020, 1030.) However, one exception to the one-year deadline for filing a petition to present a late claim is if during the period the litigant is incapacitated and does not have a guardian or conservator. (§ 911.4, subd. (c); Roberts v. County of Los Angeles (2009) 175 Cal.App.4th 474, 479.)

Finally, “[i]f a claim is denied, section 946.6 provides that the party may petition the court for an order relieving the party from the claim-filing requirement. Pursuant to section 946.6, subdivision (c), the court must grant the petition if it finds that the application (1) was made within a reasonable time not to exceed that specified in section 911.4, subdivision (b), in other words, one year after the accrual of the cause of action; (2) was denied or deemed denied; and (3) was late for one of the reasons specified in section 911.6, subdivision (b).” (County of Los Angeles v. Superior Court (2001) 91 Cal.App.4th 1303, 1313.)

B. Analysis

We find there are several reasons why the trial court did not abuse its discretion in sustaining the demurrer based on appellant’s failure to file a timely claim under the Act. The parties do not dispute that the action accrued on the day that appellant was assaulted. Nor is there any dispute that almost two years passed from the time of the incident on September 2, 2013, and the filing of appellant’s claim on August 2, 2015.

First, as appellant did not file a claim within six-months, he was required to file a petition for leave to present a late claim; however, he never did. Rather, he filed the standard Government Code claim form nearly two years after the accrual of the cause of action. As he did not file a petition to present a late claim, he did not provide the Board the opportunity to determine whether it should allow him to proceed with a late claim.

Second, the one-year time period for filing a petition to present a late claim expired before he filed a claim. In response to his late filed claim, the Board responded explaining that it had no jurisdiction to consider his claim because it “was presented more than six months from the date of the incident that is the basis of the claim, and it is too late for the Board to consider an application for leave to present a late claim.” Courts hold the one-year claim deadline is jurisdictional. Failure to meet the deadline divests courts of their power to adjudicate a victim’s claims. (J.J. v. County of San Diego (2014) 223 Cal.App.4th 1214, 1221; Munoz v. State of California (1995) 33 Cal.App.4th 1767, 1779 [“Filing a late-claim application within one year after the accrual of a cause of action is a jurisdictional prerequisite to a claim-relief petition. [Citation.] When the underlying application to file a late claim is filed more than one year after the accrual of the cause of action, the court is without jurisdiction to grant relief under Government Code section 946.6.”].) Based on appellant’s failure to file a petition for leave to present a late claim within one year of the accrual of the action, the trial court lacked jurisdiction to review his claim.

Finally, appellant did not present any argument in his claim or in the underlying action why he was excused from the timely filing of his Government Code Act claim. When respondent filed a demurrer to the action alleging that appellant failed to comply with the claims filing requirement, appellant responded by explaining that his complaint met all the elements required to state a cause of action for negligence. He presented no rationale in opposition why he should be excused from the timely filing of his claim under the Act. Rather, for the first time on appeal, appellant alleges that he was excused from timely filing his claim under the Act based on his incapacity during the claim filing period.

It is true “[a] party may raise a new issue on appeal if that issue is purely a question of law on undisputed facts.” (Phillips v. TLC Plumbing, Inc. (2009) 172 Cal.App.4th 1133, 1141.) Here, however, appellant has made no effort to show that his incapacitation argument falls within the scope of that exception. (See Giraldo v. Department of Corrections & Rehabilitation (2008) 168 Cal.App.4th 231, 251.) Appellant failed to present factual evidence to support his argument that he was incapacitated to the trial court. As factual questions exist, it is not a pure question of law based on undisputed facts and therefore is not appropriate for review in the first instance on appeal.

Finally, even if we were to review appellant’s arguments on the merits, based on the allegations presented in his appeal, he has not provided credible evidence that he was incapacitated to the extent required to waive the time requirements for filing a late claim. “[T]he type of disability which justifies relief from the [Act] on the grounds of incapacity is an all-encompassing disability which prevents the claimant from even authorizing another to file a claim for the claimant.” (Barragan v. County of Los Angeles (2010) 184 Cal.App.4th 1373, 1384.) Appellant asserts that significant injuries suffered during the assault severely affected his ability to focus or concentrate on the procedural guidelines required by the Act. Even assuming as true his assertions that his ability to focus was impaired, appellant has not established that he was “fully incapacitated.” (Barragan v. County of Los Angeles, supra, at p. 1380.)

Having independently reviewed the trial court’s reasoning for sustaining the demurrer, we find appellant’s contentions that the court erred are without merit and there is no reasonable possibility the complaint could be cured by amendment. (Roy Allan Slurry Seal, Inc. v. American Asphalt South, Inc., supra, 2 Cal.5th at p. 512; King, supra, 5 Cal.5th at p. 1050.)

DISPOSITION

The judgment is affirmed. Respondent is entitled to its costs on appeal. (Cal. Rules of Court, rule 8.278(a)(1).)


PAUL BUKOWSKI v. JULIA GRAU GOMEZ

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Filed 2/14/19 Bukowski v. Gomez CA2/5

NOT TO BE PUBLISHED IN THE OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

SECOND APPELLATE DISTRICT

DIVISION FIVE

PAUL BUKOWSKI,

Appellant,

v.

JULIA GRAU GOMEZ,

Respondent. B286862

(Los Angeles County

Super. Ct. No. 17STRO03111)

ORDER MODIFYING OPINION

[There is no change in judgment]

THE COURT:

It is ordered that the opinion filed on February 8, 2019 is modified as follows:

On the caption page, trial court number “17STR03111” should be deleted and replaced with “17STRO03111”.

There is no change in judgment.

____________________________________________________________

RUBIN, P. J. BAKER, J. MOOR, J.

Filed 2/8/19 Bukowski v. Gomez CA2/5 (unmodified opinion)

NOT TO BE PUBLISHED IN THE OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

SECOND APPELLATE DISTRICT

DIVISION FIVE

PAUL BUKOWSKI,

Appellant,

v.

JULIA GRAU GOMEZ,

Respondent. B286862

(Los Angeles County

Super. Ct. No. 17STR03111)

APPEAL from orders of the Superior Court of Los Angeles County, Laura Hymowitz, Judge. Affirmed.

Lieber & Galperin and Yury Galperin for Appellant.

George R. Milman for Respondent.

__________________________

Julia Andrea Grau Gomez obtained a civil harassment restraining order (Code Civ. Proc., § 527.6) against her neighbor, Paul Bukowski. Bukowski appeals, contending the evidence was insufficient to establish harassment. Concluding that substantial evidence supports the court’s implied findings, we affirm.

FACTUAL AND PROCEDURAL BACKGROUND

1. The Harassment
2.
Bukowski lives in a home, with two rental units, located directly across the street from some bungalow apartments. In 2014, Gomez and her extended family moved into two of the bungalow apartments.

Based on little more than vague inferences, Bukowski came to believe that Gomez and her family were involved in some sort of illicit activity. For example, Bukowski, who at no point represented himself to be an expert on the matter, inferred that much of the “visitor activity” taking place at the Gomez bungalows “resembles trafficking activity.”

Bukowski then engaged in a campaign of harassment directed at Gomez and her family. It included: photographing the license plates of all of her visitors’ cars, in order to frighten the visitors into leaving and not returning; writing multiple letters to the Gomezes’ landlord, demanding they be evicted; following Gomez when she left in her car; and regularly taking pictures and video of Gomez and her family. At one point, when Gomez and her daughter were passengers in a car driven by her brother, Juan, Bukowski used a garden hose to spray the occupants of the car, drenching them, causing damage to the car’s interior, and frightening the child.

3. Gomez’s Petition
4.
On September 25, 2017, Gomez filed a request for a civil harassment restraining order against Bukowski. She sought to protect herself, her husband (whom Bukowski once pushed), and her daughter. This was only one of several cases between the neighbors. After the car-spraying incident, when the police declined to arrest Bukowski, Juan had him taken in on a citizen’s arrest. Bukowski brought a small claims action against Juan for false arrest. Juan brought a separate petition for a civil harassment restraining order against Bukowski, which is not at issue in this appeal. There was also, apparently, a third case involving Bukowski’s fiancée and the Gomezes’ landlord, which is also not at issue here.

In support of her petition, Gomez filed a declaration which outlined the course of harassment described above. A temporary restraining order issued and the matter was set for hearing.

5. Bukowski’s Opposition
6.
Self-represented, Bukowski filed an opposition setting forth his view of the facts. His so-called “Justification or Excuse” began with his assertion that Gomez was simply pursuing the restraining order as a litigation tactic to convince him to drop his small claims suit against Juan. He next seemed to think it was relevant that the Gomez family had been evicted from their previous apartment, and attached documents from the unlawful detainer action against them. Finally, he explained that all of the alleged harassing acts could be explained by his attempts to protect his driveway, himself, and his neighborhood. He photographed the license plates of Gomez’s guests to prevent them from parking in his driveway, blocking access of his tenants. He used the hose to spray the Gomez car in self-defense because Juan had revved the engine aggressively, and he feared Juan was going to drive at him and his fiancée. He obtained extra cameras to record Gomez so that he would have evidence of further threats and assaults, and admitted that he sometimes starts recording when Gomez comes within 50 feet. His fiancée recorded Juan and Gomez when Bukowski “saw [them] actively involved in suspicious activity”; and he watched Gomez drive around the neighborhood because he had seen Gomez and Juan “involved in suspicious activity out in the street” and chose to watch Gomez to prevent “illegal activity occurring.” He closed by stating that if Gomez and her brother “do not want cameras pointed at them, simply stop threatening the neighbors, stop driving at the neighbors, and start conducting any illegal activity somewhere else.”

7. The Hearing and Order
8.
At the hearing, Gomez testified that Bukowski follows her and takes pictures of her. She believed that he might be mentally ill. Bukowski testified that he had no idea why Gomez might say that; he believed that Gomez was angry because she had been caught on camera driving at him, although he offered no video to support his claim.

The trial court granted the restraining order. In explaining the ruling, the court expressed concern that Bukowski’s act of photographing the license plates of all of Gomez’s visitors and finding out who they are appeared to be somewhat paranoid. The court also noted that Bukowski was charged with battery in connection with this dispute, but Gomez and her brother were not.

9. Bukowski’s Motion for Reconsideration
10.
Bukowski, now represented by counsel, filed a timely motion for reconsideration, arguing that the trial court erred in that it relied on two purported facts which were simply untrue. Although Bukowski had photographed Gomez’s guests’ license plates, there was no evidence that he had attempted to run the plate numbers through any database. He also argued the court erred in relying on the fact that he had been criminally charged with battery; the police had taken him in on Juan’s citizen’s arrest, but no further charges were filed.

At the hearing on reconsideration, the court expressed some confusion, in that the court at times referred to the proceedings in the lawsuit involving Bukowski’s fiancée and the Gomez landlord. The court turned to the merits of Bukowski’s motion for reconsideration, and explained that the issuance of the restraining order was not based only on the two findings challenged by the reconsideration motion. The court emphasized that it had listened to both sides and believed Gomez. The court added its belief that Bukowski was spending his days taking pictures and giving Gomez “a really hard time about the property and about parking and who was parking in their place,” which the court concluded was harassment. Bukowski’s counsel argued that the evidence was that the only time Bukowski took photographs was when the vehicles were blocking his driveway. The court asked Gomez her response, and she said this was untrue. Bukowski ran to her guests’ cars and took pictures; he followed Gomez; he took pictures of Gomez; he yelled at her daughter; and he yelled at her landlord telling the landlord to kick them out. The court declined to change its order on reconsideration.

DISCUSSION

1. Standard of Review
2.
“The elements of unlawful harassment, as defined by the language in [Code of Civil Procedure] section 527.6, are as follows: (1) ‘a knowing and willful course of conduct’ entailing a ‘pattern’ of ‘a series of acts over a period of time, however short, evidencing a continuity of purpose’; (2) ‘directed at a specific person’; (3) ‘which seriously alarms, annoys, or harasses the person’; (4) ‘which serves no legitimate purpose’; (5) which ‘would cause a reasonable person to suffer substantial emotional distress’ and ‘actually cause[s] substantial emotional distress to the plaintiff’; and (6) which is not a ‘[c]onstitutionally protected activity.’ ” (Schild v. Rubin (1991) 232 Cal.App.3d 755, 762.)

Although a civil harassment restraining order must be based on clear and convincing evidence of harassment (Code Civ. Proc., § 527.6, subd. (i)), on appeal, the “clear and convincing” test disappears and we review for substantial evidence. (Parisi v. Mazzaferro (2016) 5 Cal.App.5th 1219, 1227, fn. 11). “The appropriate test on appeal is whether the findings (express and implied) that support the trial court’s entry of the restraining order are justified by substantial evidence in the record. [Citation.]” (R.D. v. P.M. (2011) 202 Cal.App.4th 181, 188 [affirming civil harassment restraining order].) “We resolve all conflicts in the evidence in favor of respondent, the prevailing party, and indulge all legitimate and reasonable inferences in favor of upholding the trial court’s findings. [Citation.] Declarations favoring the prevailing party’s contentions are deemed to establish the facts stated in the declarations, as well as all facts which may reasonably be inferred from the declarations; if there is a substantial conflict in the facts included in the competing declarations, the trial court’s determination of the controverted facts will not be disturbed on appeal. [Citation.]” (Bookout v. Nielsen (2007) 155 Cal.App.4th 1131, 1137-1138.)

3. Sufficient Evidence Supported the Finding of Harassment
4.
Bukowski’s first argument on appeal is an attempt to reargue his motion for reconsideration. Specifically, he argues there was insufficient evidence of harassment because there was no evidence that he attempted to look up the owners of the cars from their license plate numbers and no evidence that he was charged with battery – two facts on which the court’s order was allegedly based. But, at the hearing on reconsideration, the court explained that the finding of harassment was based on much more than those two, apparently mistaken, facts. Gomez’s declaration, submitted in connection with her petition, explained that: Bukowski regularly takes pictures of her and her family; takes pictures of anyone who comes in and out of her house; has followed her by car when she was driving; and sprayed Juan’s car’s occupants (including Gomez) with water when the car was in the street. This is sufficient evidence of harassment.

Bukowski also argues that the finding of harassment was based on false testimony, in that, in connection with the water-spraying incident, Gomez had testified that Juan had not driven in Bukowski’s driveway, but Bukowski had photographic evidence that Juan had used the Bukowski driveway for a three-point turn, before driving back into the street where Bukowski sprayed it. This distinction is simply irrelevant. Regardless of whether Juan had turned the car in the Bukowski driveway or in the street in front of it, Bukowski indisputably turned the hose on the car’s occupants when the car was not on his property. Bukowski took the position that he did so because Juan had revved the engine in a threatening manner, and that Bukowski believed Juan might drive at him and his fiancée. Gomez testified that all Juan had done was turn the car around. The court believed Gomez.

5. Conduct was Directed at Gomez
6.
Bukowski next argues that there is insufficient evidence of harassment because the statute requires the harassing conduct be specifically directed at the victim, but his conduct of taking photographs of the license plates was directed at Gomez’s guests, not Gomez herself.

Bukowski is again basing his argument on the premise that the restraining order was issued only for the two reasons the court mentioned at the first hearing. But we do not presume the court’s justifications for its order were so limited; indeed, the trial court explained as much when it declined to change its order on reconsideration.

Specifically, Bukowski photographed Gomez and followed Gomez – conduct clearly specifically directed at Gomez. He also hosed the car in which she and her daughter were riding, causing damage and fear. Moreover, under the circumstances, we conclude the evidence supports the conclusion that photographing her guests’ license plates was also directed at Gomez. Bukowski believed that Gomez was involved in illicit trafficking activity; he photographed her visitors’ license plates in order to encourage them to leave and never come back. This was directed at Gomez.

7. Conduct Lacked a Legitimate Purpose
8.
Finally, Bukowski argues that his act of photographing the license plates had a legitimate purpose, so could not be considered harassment. Specifically, he argues that it was intended to prevent Gomez’s guests from parking in his driveway. While this was the purpose testified to by Bukowski, the trial court was not required to believe him, and the evidence – including Bukowski’s opposition to the restraining order – painted a different picture.

Bukowski believed – with no supporting evidence presented to the trial court – that the Gomez family was engaged in criminal activity, and he did not want it happening on his street. Not only did he understandably not want Gomez’s guests blocking his driveway, he did not want them there at all, and took pictures of their cars in the hopes of making them uncomfortable enough to leave and never return. When he thought Gomez was “involved in suspicious activity,” he followed her or took pictures. Believing that Gomez and her brother were constantly on the verge of committing crimes, he armed himself with a camera and started recording when she was within 50 feet. The court noted that this seemed paranoid.

Bukowski’s briefing on appeal is suspiciously devoid of any references to perceived illicit or suspicious activity – even though this had formed the bulk of his originally-filed opposition to the restraining order. Bukowski is attempting on appeal to recharacterize his conduct as a rational reaction to a garden-variety parking dispute, when, in truth, he believed that his neighbors were engaged in criminal activity, and he sought to do whatever he could to stop it from happening on his street – up to and including harassment.

DISPOSITION

The order is affirmed. Bukowski is to pay Gomez’s costs on appeal. We express no opinion on whether Gomez is entitled to attorney’s fees.

RUBIN, P. J.

WE CONCUR:

BAKER, J.

MOOR, J.

TODD HENRY JARVI v. WENDEL, ROSEN, BLACK & DEAN, LLP

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Filed 2/14/19 Jarvis v. Wendel, Rosen, Black & Dean, LLP CA1/2

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

FIRST APPELLATE DISTRICT

DIVISION TWO

TODD HENRY JARVIS, et al.

Plaintiffs and Respondents,

v.

WENDEL, ROSEN, BLACK & DEAN, LLP, et al.,

Defendants and Appellants.

A151981

(Alameda County

Super. Ct. No. RG16827566)

Todd Henry Jarvis (Todd or plaintiffs) sued the law firm Wendel, Rosen, Black & Dean, LLP (Wendel Rosen) and attorney Les Hausrath (together defendants) for professional negligence, breach of fiduciary duty, and other claims based on allegations that Todd hired Wendel Rosen to represent him in various capacities and that defendants later breached duties owed to him by, among other things, “taking adverse actions to [his] detriment,” “failing to withdraw from a conflicted representation,” and “disclosing confidential information.”

Defendants filed an anti-SLAPP motion to strike the complaint on the grounds that (1) Wendel Rosen ceased representing Todd in 2004, and (2) plaintiffs’ claims arose from alleged conduct that all related to defendants’ legal representation of another client from 2009 to around 2015, and since the alleged conduct furthered defendants’ and their client’s rights of petition, it was protected activity under Code of Civil Procedure section 425.16, subdivision (b)(1) (§ 425.16(b)(1)). The trial court denied the motion under the first step of the anti-SLAPP analysis, finding the claims arose not from protected litigation activities, but rather from breaches of professional and ethical duties allegedly owed to plaintiffs as clients or former clients of defendants.

On appeal, defendants contend the trial court erred in the first step of the anti-SLAPP analysis. We affirm.

FACTUAL AND PROCEDURAL BACKGROUND

On August 16, 2016, plaintiffs initiated this action by filing his original complaint, which was never served. On November 30, 2016, plaintiffs filed a first amended complaint (FAC), the operative complaint, which was served on defendants on December 8, 2016.

First Amended Complaint

Parties, Real Property, Trusts, and a Partnership

According to the FAC, Todd and his brother Jim Jarvis (Jim) were equitable owners of three adjacent pieces of real property in Monterey County: (1) the Jarvis ranch, which a buyer expressed interest in buying “for millions of dollars,” (2) a 1.1 acre rental property owned by Todd and Jim as tenants in common, referred to as the “TIC property,” and (3) the “LP property,” a third property owned by Jarvis Properties, LP (Jarvis LP), a limited partnership, of which Todd was a general partner.

The Jarvis ranch was held in the Jarvis Administrative Trust (Ad Trust). Todd was the trustee of the Ad Trust, and Todd and Jim were the intended beneficiaries. At some point, Todd and Jim agreed to the formation of the Jarvis Family Replacement Trust (Replacement Trust), which received and held the Jarvis ranch and the TIC property. The Replacement Trust had a third-party trustee (Replacement Trustee), and Todd remained an intended beneficiary of the new trust and an equitable owner of the trust properties. The LP property remained an asset of Jarvis LP.

General Allegations

Plaintiffs alleged Todd retained Wendel Rosen on or about September 24, 2003, and Wendel Rosen “advised and represented Todd on a variety of legal matters.” During that representation, Wendel Rosen “became intimately involved with the administration of the Ad Trust and Todd’s intentions, mental impressions, strategy, and goals in that administration.”

When the Replacement Trust was formed, Wendel Rosen “undertook to represent the Replacement Trust” and Todd’s “and Jim’s equitable and beneficial interest in the” Jarvis ranch. At no time did Wendel Rosen disclose to or advise Todd of any potential or actual conflicts among plaintiffs, the Ad Trust, the Replacement Trust, or the Replacement Trustee. “After Wendel Rosen began representing the Replacement Trustee, the Replacement Trustee became increasingly adverse to Todd, and took actions that disadvantaged Todd and Jarvis LP, and conflicted with the purpose and intent of the Replacement Trust.”

An “important event” for purposes of plaintiffs’ action against defendants was a “CalTrans freeway project,” which resulted in an eminent domain lawsuit involving the three Jarvis properties. In December 2012, Wendel Rosen began representing “the Replacement Trust, Jarvis LP, and Todd and Jim individually as the owners of the three affected properties” in the eminent domain lawsuit. As to the LP property, plaintiffs alleged Wendel Rosen owed Todd a fiduciary duty as general partner and authorized agent of Jarvis LP.

Plaintiffs alleged Wendel Rosen “continued to regularly engage and advise Todd regarding various legal matters relating to the eminent domain action, including . . . seeking and obtaining considerable confidential information from Todd; . . . providing Todd with attorney client updates relating to the joint representation, . . . providing legal advice and legal analysis responsive to Todd’s questions relating to the various legal issues and litigated matters; . . . conferring with Todd regarding various proposed actions concerning various legal issues.”

Causes of Action

Plaintiffs alleged seven causes of action styled as follows: (1) professional negligence, (2) breach of fiduciary duty, (3) unlawful business practices, (4) breach of contract, (5) professional negligence, (6) breach of fiduciary duty, and (7) unfair business practice, with the first four claims asserted by Todd and the last three claims asserted by “Jarvis LP and its general partner.”

Motion to Strike

On February 6, 2017, defendants filed an anti-SLAPP motion. Defendants argued the alleged conduct arose from their legal representation of John McDonnell, the Replacement Trustee, in eminent domain lawsuits in the Monterey County Superior Court from 2009 to approximately 2015, “all of which constituted activities in furtherance of the rights of the Attorney Defendants and their client to petition . . . .” Defendants filed supporting declarations by Hausrath (a defendant in the FAC) and McDonnell (not a defendant).

In his declaration, Hausrath, a partner at Wendel Rosen, stated the following. Wendel Rosen and attorney Bruce Lymburn began representing Todd as the trustee of the Ad Trust in connection with the potential development of the Jarvis ranch in September 2003. In June 2004 (after the Replacement Trust was created and McDonnell was appointed the Replacement Trustee), McDonnell asked Wendel Rosen to represent him “in the same matter for which it had been previously retained by Todd Jarvis, as Trustee for the [Ad] Trust, i.e., the potential development of the Jarvis Ranch.” Todd voiced no objection to McDonnell retaining Wendel Rosen.

McDonnell asked Wendel Rosen to represent him as trustee of the Replacement Trust in the Caltrans matter in 2005. Hausrath sometimes provided Todd and Jim updates on the proposed Caltrans acquisition, but “at no time after June 2004 did Wendel Rosen represent Todd Jarvis in any capacity, or take or ask for any instruction from [him].” Hausrath was unaware of any confidential information obtained from Todd before June 2004. Hausrath represented McDonnell in his capacity as the Replacement Trustee in the eminent domain lawsuits, which Caltrans filed in May 2009. Todd retained separate counsel to represent his interests in the eminent domain lawsuits, but he never moved to disqualify Wendel Rosen. Eventually, in 2015, McDonnell negotiated the sale of the Jarvis ranch, “which resulted in Todd Jarvis receiving his share of the $17 million sales proceeds that the probate court determined was an appropriate sale amount.”

Hausrath stated, “From and after June[] 2004, Todd Jarvis was not a client of Wendel Rosen, but rather was a beneficiary of the Replacement Trust which Wendel Rosen represented through Mr. McDonnell as Trustee. I understood that by its terms the [Ad] Trust was terminated when the new trust was created. As a former client of the firm, Todd Jarvis was never treated as a client thereafter. He was not billed for services. He was not asked to sign an engagement letter. Instead, in all matters related to the Jarvis Ranch, the TIC Property, and the LP Property in which Wendel Rosen was involved, he was represented by his own legal counsel . . . .”

McDonnell, an attorney, declared the following. Todd and Jim had disputes regarding administration of the Ad Trust and the brothers agreed it would be best if the assets were managed by an independent third party. Pursuant to a court order and the brothers’ request, McDonnell was first appointed neutral trustee of the Ad Trust in March 2004. Then, as the result of a settlement agreement between Todd and Jim, the Replacement Trust was created in June 2004 to succeed the Ad Trust, and the probate court approved McDonnell’s appointment as the trustee of the new trust. McDonnell was unaware of and was not provided any confidential information obtained from Todd by Wendel Rosen.

Based on the declarations and attached exhibits, defendants argued, “the evidence establishes that in 2004, Wendel Rosen ceased representing Todd Jarvis, as the Trustee of the [Ad] Trust” and, thereafter, Todd “was never again a Wendel Rosen client.” They asserted, “Because the Attorney Defendants ceased representing Plaintiff Todd Jarvis as of 2004 and thereafter did not represent [him] in any capacity in the eminent domain lawsuits, Plaintiffs cannot meet their burden of establishing that there is a probability that Plaintiffs will prevail on their professional negligence, breach of fiduciary duty, unlawful business practices, and breach of contract causes of action in this matter.”

Plaintiffs opposed the motion, and Todd filed a 29-page declaration in support of the opposition. Among other things, Todd stated, “Wendel Rosen communicated with me as a client, treated me as a client, and led me to believe that my ownership interests and rights were being protected” (even after June 2004) and, “I believe that from 2004 through September 8, 2015, Wendel Rosen represented me as a true owner, equitable owner, settl[o]r and intended beneficiary in the real property previously part of the [Ad] trust . . . .”

Trial Court’s Decision

The trial court denied the motion to strike, finding defendants had failed to make the threshold showing that the claims arose from protected activity. The court explained, “After considering [the] allegations, as well as the admissible portions of the declarations submitted by the parties as to the conduct on which the causes of actions are based, the court determines that the causes of action, as pleaded, fall within the recognized exception” for legal malpractice. The court found that Todd was suing defendants, “not as a ‘third party allegedly harmed by [Defendants’] representation of another client’ but instead as Defendants’ ‘former client that allegedly was harmed as the result of [Defendants’] . . . “breaching the duty of loyalty” that was owed’ to Todd,” quoting Loanvest I, LLC v. Utrecht (2015) 235 Cal.App.4th 496, 505 (Loanvest).

The court was not persuaded by defendants’ arguments that they ceased representing Todd by 2004, that only McDonnell was their client from 2004 to 2015, and that Todd’s status as a beneficiary of the Replacement Trust was not sufficient to create an ongoing attorney-client relationship or otherwise create professional duties owed to Todd. The court reasoned, “these arguments go to the merits of Todd’s claims that Defendants continued to owe him professional duties of care, loyalty and confidence, despite their representation of the Trustee, rather than showing that Todd (and Jarvis LP) are suing Defendants for protected activity independent of breaches of such alleged (and disputed) duties.”

DISCUSSION

A. The Anti-SLAPP Statute and Standard of Review

Section 425.16(b)(1), provides, “A cause of action against a person arising from any act of that person in furtherance of the person’s right of petition or free speech under the United States Constitution or the California Constitution in connection with a public issue shall be subject to a special motion to strike, unless the court determines that the plaintiff has established that there is a probability that the plaintiff will prevail on the claim.” (Italics added.)

The anti-SLAPP protection for petitioning activity applies to litigation-related conduct (Kolar v. Donahue, McIntosh & Hammerton (2006) 145 Cal.App.4th 1532, 1537), and protected petitioning activity “includes qualifying acts committed by attorneys in representing clients in litigation” (Rusheen v. Cohen (2006) 37 Cal.4th 1048, 1056).

The California Supreme Court has summarized a trial “court’s task in ruling on an anti-SLAPP motion to strike as follows. Section 425.16, subdivision (b)(1) requires the court to engage in a two-step process. First, the court decides whether the defendant has made a threshold showing that the challenged cause of action is one arising from protected activity. The moving defendant’s burden is to demonstrate that the act or acts of which the plaintiff complains were taken ‘in furtherance of the [defendant]’s right of petition or free speech under the United States or California Constitution in connection with a public issue,’ as defined in the statute. (§ 425.16, subd. (b)(1).) If the court finds such a showing has been made, it then determines whether the plaintiff has demonstrated a probability of prevailing on the claim. Under section 425.16, subdivision (b)(2), the trial court in making these determinations considers ‘the pleadings, and supporting and opposing affidavits stating the facts upon which the liability or defense is based.’ ” (Equilon Enterprises v. Consumer Cause, Inc. (2002) 29 Cal.4th 53, 67 (Equilon).)

In the first step of the anti-SLAPP analysis, “[t]he sole inquiry . . . is whether the plaintiff’s claims arise from protected speech or petitioning activity. [Citation.] Our focus is on the principal thrust or gravamen of the causes of action, i.e., the allegedly wrongful and injury-producing conduct that provides the foundation for the claims.” (Castleman v. Sagaser (2013) 216 Cal.App.4th 481, 490–491 (Castleman).) “[T]he mere fact that an action was filed after protected activity took place does not mean the action arose from that activity for the purposes of the anti-SLAPP statute. [Citation.] Moreover, that a cause of action arguably may have been ‘triggered’ by protected activity does not entail it is one arising from such. [Citation.] In the anti-SLAPP context, the critical consideration is whether the cause of action is based on the defendant’s protected free speech or petitioning activity.” (Navellier, supra, 29 Cal.4th at p. 89.) “We review the parties’ pleadings, declarations, and other supporting documents at this stage of the analysis only ‘to determine what conduct is actually being challenged, not to determine whether the conduct is actionable.’ ” (Castleman, supra, at p. 491.)

We review a trial court’s order granting or denying an anti-SLAPP motion de novo. (Flatley v. Mauro (2006) 39 Cal.4th 299, 325–326.)

B. Conduct Constituting Legal Malpractice Generally is Not Protected

“Although . . . an attorney’s ‘litigation-related activities’ . . . constitute acts in furtherance of a person’s right of petition, numerous cases have held that ‘actions based on an attorney’s breach of professional and ethical duties owed to a client’ are generally not subject to section 425.16 ‘even though protected litigation activity features prominently in the factual background.’ ” (Sprengel v. Zbylut (2015) 241 Cal.App.4th 140, 151, italics added (Sprengel); see Yeager, supra, 23 Cal.App.5th at pp. 457–458 [citing cases].) For example, in Jespersen v. Zubiate-Beauchamp (2003) 114 Cal.App.4th 624, the plaintiffs were clients who sued their attorneys for negligently representing them in a civil lawsuit. (Id. at pp. 627–628.) The attorneys filed an anti-SLAPP motion to strike the plaintiffs’ complaint, but the Court of Appeal concluded the defendants “failed to demonstrate that [the alleged] conduct amounts to constitutionally protected speech or petition,” and “reject[ed] their attempt to turn garden-variety attorney malpractice into a constitutional right.” (Id. at p. 632.)

More recently, Division Three of our court explained, “Where . . . a legal malpractice action is brought by an attorney’s former client, claiming that the attorney breached fiduciary obligations to the client as the result of a conflict of interest or other deficiency in the representation of the client, the action does not threaten to chill the exercise of protected rights and the first prong of the anti-SLAPP analysis is not satisfied.” (Loanvest, supra, 235 Cal.App.4th at p. 504.)

This well-recognized principle of anti-SLAPP analysis applies to attorneys’ alleged breaches of the duties of loyalty and confidence owed to clients and former clients. (E.g., Castleman, supra, 216 Cal.App.4th at p. 493; Freeman v. Schack (2007) 154 Cal.App.4th 719, 729–733 (Freeman); Benasra v. Mitchell Silberberg & Knupp LLP (2004) 123 Cal.App.4th 1179, 1181 (Benasra).)

In Benasra, three plaintiffs sued their former law firm for breach of the duty of loyalty in representing the plaintiffs’ opponent in an arbitration. (Benasra, supra, 123 Cal.App.4th at p. 1182.) The defendant law firm filed an anti-SLAPP motion to strike and presented evidence that they no longer represented the plaintiffs at the time of the arbitration and that “there was no substantial relationship between the matters in which they formerly represented [plaintiffs] and the . . . arbitration.” (Ibid.)

The Court of Appeal held the defendant law firm did not satisfy the first step of the anti-SLAPP analysis. The plaintiffs’ claims were based on alleged violations of the State Bar Rules of Professional Conduct, which, among other things, provide that an attorney shall not, without the informed written consent of each client, “ ‘[a]ccept representation of more than one client in a matter in which the interests of the clients potentially conflict,’ ” and “that an attorney ‘shall not, without the informed written consent of the client or former client, accept employment adverse to the client or former client where, by reason of the representation of the client or former client, the member has obtained confidential information material to the employment.’ ” (Benasra, supra, 123 Cal.App.4th at p. 1187, quoting State Bar Rules of Professional Conduct, rule 3-310(C) and (E).) The Benasra court agreed with the plaintiffs that “their claim [wa]s not based on ‘filing a petition for arbitration on behalf of one client against another, but rather, for failing to maintain loyalty to, and the confidences of, a client.’ ” (Benasra, supra, 123 Cal.App.4th at p. 1189, italics added.) The court further explained, “[T]he actual disclosure of confidences by a former attorney during litigation is not required to form the basis for the tort of breach of duty of loyalty. The breach occurs not when the attorney steps into court to represent the new client, but when he or she abandons the old client.” (Ibid., italics added.) Thus, the court concluded the plaintiffs’ allegations did not fall within the ambit of the anti-SLAPP statute. (See id. at p. 1181.)

In Freeman, supra, 154 Cal.App.4th 719, two real estate agents sued their attorney Schack “for breach of contract, professional negligence and breach of fiduciary duty based on allegations that [the attorney] had entered into a contract by which he assumed attorney-client duties toward plaintiffs but abandoned them in order to represent adverse interests in the same and different litigation.” The plaintiffs alleged Schack had been hired to represent them in an antitrust lawsuit against a listing service, but Schack then represented another plaintiff-in-intervention in the lawsuit and pursued a settlement adverse to the plaintiffs’ interests. (Id. at pp. 722–725.) Schack filed an anti-SLAPP motion to strike the claims. The Court of Appeal, however, concluded Schack failed at the first step of the anti-SLAPP analysis because the plaintiffs’ claims did not arise from protected petitioning activity. (Id. at p. 733.) The court reasoned, “[T]he principal thrust of the conduct underlying [the plaintiffs’] causes of action is not Schack’s filing or settlement of litigation,” but rather “the ‘activity that gives rise to [Schack’s] asserted liability’ [citation] is his undertaking to represent a party with interests adverse to plaintiffs, in violation of the duty of loyalty he assertedly owed them . . . .” (Id. at p. 732.)

In Castleman, supra, 216 Cal.App.4th 481, the plaintiffs were Peter Castleman and certain limited liability companies. In 2007 and 2008, a law firm represented the plaintiffs in business ventures including real estate transactions between the plaintiffs and James Bratton. In 2009, an attorney at the law firm, Howard Sagaser, resigned from the firm after allegedly accessing the firm’s confidential information about the plaintiffs. Sagaser allegedly provided this confidential information to Bratton, who initiated a lawsuit against the plaintiffs, claiming they conspired to defraud him in the real estate ventures. (Id. at pp. 485–487.)

The plaintiffs then filed a complaint against Sagaser, alleging “ ‘Sagaser used confidential information of the Plaintiffs that Sagaser had obtained in connection with his firm’s representation of the Plaintiffs (1) to encourage Bratton to bring a meritless action against Plaintiffs . . .; (2) to draft a complaint for Bratton against the Plaintiffs; and (3) to represent, to advise and to assist Bratton in his action against the Plaintiffs.’ ” (Castleman, supra, 216 Cal.App.4th at p. 487.) Sagaser moved to strike the complaint under the anti-SLAPP statute. After reviewing cases including Benasra and Freeman, the Court of Appeal concluded, “[The plaintiffs’] causes of action do not arise from protected activity within the meaning of the anti-SLAPP statute. The foundation of each claim is the allegation that Sagaser chose to align himself with [the plaintiffs’] adversaries, in direct opposition to [the plaintiffs’] interests, thereby breaching duties of loyalty and confidentiality owed to them by virtue of a prior attorney/client relationship. [The plaintiffs’] complaint specifically alleges that Sagaser violated the State Bar Rules of Professional Conduct, including rule 3–310, which is the principal thrust of their lawsuit.” (Id. at p. 493, italics added.)

C. Plaintiffs’ Allegations Did Not Arise From Protected Activity

Here, plaintiffs alleged Todd hired Wendel Rosen to represent him in 2003, and after McDonnell hired the same firm, Wendel Rosen never advised Todd of any potential conflicts between him, the Replacement Trust, or McDonnell. He alleged McDonnell then “took actions that disadvantaged Todd and Jarvis LP.” Plaintiffs alleged defendant Hausrath had a “material conflict . . . that favored CalTrans over plaintiffs” and Wendell Rosen failed to disclose the conflict. He alleged Wendel Rosen breached its professional duties owed to him by, among other things, “failing to adequately ensure that Todd’s interests were adequately considered, protected, or provided for and by utilizing his confidential information to his detriment,” “continuing to take adverse actions without any waivers from Todd,” and “disclosing confidential information, withholding information and failing to release Todd’s client files.”

Plaintiffs’ allegations against defendants are akin to the allegations in Benasra that the defendant law firm “ ‘fail[ed] to maintain loyalty to, and the confidences of, a client,’ ” (123 Cal.App.4th at p. 1189), the allegations in Freeman that an attorney “undert[ook] to represent a party with interests adverse to [his clients], in violation of the duty of loyalty he assertedly owed them” (154 Cal.App.4th at p. 732), and the allegations in Castleman that an attorney “ ‘used confidential information . . . obtained in connection with his firm’s representation of the Plaintiffs’ ” and “breache[d] . . . the duties of loyalty and confidentiality owed to [the plaintiffs] as former clients under the State Bar Rules of Professional Conduct” (216 Cal.App.4th at pp. 487–488.) As we have seen in all these cases, such allegations of attorney misconduct do not constitute protected petitioning activity under the first step of the anti-SLAPP analysis. (Benasra, supra, at pp. 1181, 1189; Freeman, supra, at p. 733; Castleman, supra, at p. 493.) Following the reasoning of Benasra, Freeman, and Castleman, we conclude defendants in this case have failed to make a threshold showing that plaintiffs’ claims arose from protected activity. Instead, the principle thrust or gravamen of their allegations is that defendants breached professional and ethical duties owed to them as either clients or former clients.

Defendants’ arguments do not convince us otherwise. Defendants first assert they have conclusively negated the possibility of an attorney-client relationship between plaintiffs and defendants after June 2004. This argument is intended to refute plaintiffs’ allegations that Todd continued to have an attorney-client relationship with defendants after June 2004 and through the filing of the eminent domain lawsuits.

The trial court, however, was correct that this argument goes to the merits of plaintiffs’ claims rather than the conduct being alleged. In the first step of the anti-SLAPP analysis, “[w]e review the parties’ pleadings, declarations, and other supporting documents . . . only ‘to determine what conduct is actually being challenged, not to determine whether the conduct is actionable.’ ” (Castleman, supra, 216 Cal.App.4th at p. 498, italics added.) “We do not consider the veracity of [the plaintiffs’] allegations in determining whether their claims arise from protected speech or petitioning activity.” (Id. at p. 493, italics added; see City of Costa Mesa v. D’Alessio Investments, LLC (2013) 214 Cal.App.4th 358, 371 [“The merits of [a plaintiff’s] claims should play no part in the first step of the anti-SLAPP analysis”].)

The facts of Sprengel, supra, 241 Cal.App.4th 140 are illustrative. There, the plaintiff Jean Sprengel and a business partner were the sole co-owners of a limited liability corporation, Purposeful Press. After a dispute arose between the two co-owners, the business partner hired the defendant attorneys to represent Purposeful Press “related to the dispute with Sprengel.” (Id. at p. 144.) Sprengel filed a complaint for involuntary dissolution against her business partner and Purposeful Press, and filed a separate action against the partner. The defendant attorneys represented Purposeful Press in the litigation and also pursued a claim against Sprengel. (Id. at p. 145.)

Sprengel then filed a malpractice action against the defendant attorneys alleging they violated the duty of loyalty they owed to her by pursuing her business partner’s interests in the lawsuits Sprengel brought. (Sprengel, supra, 241 Cal.App.4th at p. 146.) The defendant attorneys filed an anti-SLAPP motion to strike Sprengel’s complaint. (Sprengel, supra, 241 Cal.App.4th at p. 147.) The defendant attorneys argued the claims were all premised on the existence of an attorney-client relationship between Sprengel and the defendants, but Sprengel could not establish the existence of such a relationship. (Ibid.) The Court of Appeal rejected the defendants’ argument, explaining, “Defendants’ arguments regarding the absence of an attorney-client relationship with Sprengel improperly conflate the first and second prongs of the Section 425.16 test. ‘The sole inquiry’ under the first prong of the test is whether the plaintiff’s claims arise from protected speech or petitioning activity. [Citation.] In making this determination, ‘[w]e do not consider the veracity of [the plaintiff’s] allegations’ [citation] nor do we consider ‘[m]erits based arguments.’ [Citations.] If the defendant demonstrates the plaintiff’s claims do arise from protected activity, we then review the potential merits of the plaintiff’s claims in the second step of the analysis. [Citation.] However, ‘[w]here [defendant] cannot meet his threshold showing, the fact he might be able to otherwise prevail on the merits under the “probability” step is irrelevant.’ [Citation.] Whether Sprengel actually shared an attorney-client relationship with defendants relates to the merits of her claims and is therefore not relevant to our first prong analysis. Although defendants may ultimately defeat Sprengel’s claims by proving the absence of an attorney-client relationship, that does not alter the substance of her claims.” (Sprengel, supra, 241 Cal.App.4th at pp. 156–157, italics added.)

Yeager, supra, 23 Cal.App.5th 450, is also helpful for our analysis. In that case, the plaintiffs sued defendants Peter Holt, the Holt Law Firm, and Bethany Holt for professional negligence, and in response, the defendants filed an anti-SLAPP motion with a supporting declaration stating that Bethany Holt had nothing to do with the defendant law firm. (Id. at pp. 454–455.) The court concluded the defendants’ anti-SLAPP motion failed at the first step of the anti-SLAPP analysis because the allegations did not arise from protected activity. (Id. at pp. 456–457.) Alluding to defendants’ evidence that Bethany Holt was not involved with the law firm that allegedly provided negligent legal services, the court observed, “Although there may be sound reasons why this case will not succeed, either in whole or in part, filing an anti-SLAPP motion was not an effective way to litigate it.” (Id. at p. 461 and fn. 7.)

Turning to the present case, we do not decide the truth of plaintiffs’ allegations that defendants continued to have an attorney-client relationship with plaintiffs after June 2004 in the first step of the anti-SLAPP analysis. Although defendants may ultimately defeat plaintiffs’ claims by proving they have no merit, “filing an anti-SLAPP motion [i]s not an effective way to litigate” the claims. (Yeager, supra, 23 Cal.App.5th at p. 461.)

Defendants argue the facts of Sprengel are distinguishable because in the present case, defendants have conclusively negated the possibility of an attorney-client relationship with plaintiffs. They rely on an observation the Sprengel court made in a footnote that “based on the arguments and evidence presented in their briefs, [the] defendants have not ‘conclusively’ negated the possibility of an attorney-client relationship between themselves and Sprengel; it would therefore be improper to resolve that issue under the first prong of the anti-SLAPP statute test.” (Sprengel, supra, 241 Cal.App.4th at p. 157, fn. 7, italics added.) Yet, the Sprengel court rejected a similar argument. The Sprengel defendants claimed the undisputed evidence showed they were hired to represent only Purposeful Press, a limited liability company (LLC), and asserted an attorney for an LLC owes no professional duties to the LLC’s individual members. But, the court explained, “[The] defendants have cited no authority holding that an attorney for an LLC has no obligations to the LLC’s individual members. . . . [I]n the context of partnerships, . . . a five-part factual inquiry[ ] is used to ‘determine whether in a particular case the partnership attorney has established an attorney-client relationship with the individual partners.’ [Citations.] . . . To the extent the partnership rules were found to apply, a factual inquiry would be necessary to determine what duties (if any) the defendants owed to the LLC’s members, including Sprengel. Thus, based on the arguments and evidence presented in their briefs, defendants have not ‘conclusively’ negated the possibility of an attorney-client relationship between themselves and Sprengel; it would therefore be improper to resolve that issue under the first prong of the anti-SLAPP statute test.” (Sprengel, supra, 241 Cal.App.4th at p. 157, fn. 7.)

Likewise, here, it would be improper in the first step of the anti-SLAPP analysis to decide the factual question whether an attorney-client relationship arose between plaintiffs and defendants, and defendants have not submitted evidence that “conclusively” negates the possibility of such a relationship.

In any event, even if there were no ongoing attorney-client relationship between Todd and defendants, defendants concede that Todd was Wendel Rosen’s client at one time. We have seen that attorneys’ alleged breaches of duties owed to former clients do not constitute protected petitioning activities subject to anti-SLAPP motions. (E.g., Benasra, supra, 123 Cal.App.4th at p. 1182 [plaintiffs sued their former law firm for breaching the duties of loyalty and confidentiality in representing an adversary in an arbitration; defendant law firm presented evidence it no longer represented the plaintiffs at the time of arbitration]; Castleman, supra, 216 Cal.App.4th at pp. 485–487 [plaintiffs sued an attorney who allegedly breached his duty of confidentiality to the plaintiffs after the attorney left the law firm that represented the plaintiffs].) United States Fire Ins. Co. v. Sheppard, Mullin, Richter & Hampton LLP (2009) 171 Cal.App.4th 1617 (U.S. Fire) provides another example. In U.S. Fire, an insurance company sued to enjoin a law firm from representing a group of asbestos creditors on the ground the law firm had previously represented the insurance company in asbestos-related litigation. (Id. at pp. 1619–1620.) The law firm responded by filing an anti-SLAPP motion, but the Court of Appeal concluded the insurance company’s allegations did not involve protected activity under the anti-SLAPP statute. (Id. at p. 1639.) The court explained the insurance company’s claims focused on the attorney-client relationship between itself and the defendant and sought “relief based on a claim of successive representation conflict of interest in violation of rule 3–310(E),” and “the principal thrust of the misconduct averred in the underlying complaint is the acceptance by [the law firm] of representation adverse to [the plaintiff].” (Id. at p. 1628.)

Despite these examples, defendants argue plaintiffs’ claims “as a former client satisfy” the first step of the anti-SLAPP analysis. Defendants attempt to distinguish Castleman and U.S. Fire on the ground the attorneys in those cases took on new clients whose interests were adverse to the plaintiffs. Defendants argue in those cases, “the attorney’s mere representation of the other client was the basis for the subject breach of fiduciary duty, [but] Respondent cannot credib[ly] make any such allegation here.” Yet, plaintiffs have alleged defendants’ new client McDonnell “became increasingly adverse to Todd” and, further, Wendel Rosen took actions adverse to Todd and disclosed confidential information. Whether plaintiffs made this allegation “credibly” is not relevant at the first step of the anti-SLAPP analysis because, as we have explained, we do not consider the veracity of a plaintiff’s allegations in determining whether the allegations arise from protected petitioning activity. (Castleman, supra, 216 Cal.App.4th at p. 493.)

Perhaps a closer case to plaintiffs’ under the facts is Freeman. In that case, the attorney Schack did not undertake to represent the plaintiffs’ opposing party in litigation; rather, he took as a client a plaintiff-in-intervention in an antitrust lawsuit in which the Freeman plaintiffs had been the original plaintiffs and Schack had been hired to represent them. (Freeman, supra, 154 Cal.App.4th at p. 724.) The plaintiffs alleged they later discovered that the new client’s interests were adverse to theirs. Among their claims, the plaintiffs argued, “Schack’s actions violated rule 3–310(E) of the Rules of Professional Conduct, which prohibits consecutive representations adverse to a former client.” (Id. at p. 728.) The court concluded the plaintiffs’ allegations did not arise from protected activity, but in Schack’s alleged “undertaking to represent a party with interests adverse to plaintiffs, in violation of the duty of loyalty he assertedly owed them in connection with [the underlying antitrust lawsuit in which Schack represented the plaintiffs].” (Id. at p. 732.)

Similarly, in the present case, the principal thrust of plaintiffs’ allegations is that defendants undertook to represent McDonnell, the Replacement Trustee, whose interests were adverse to Todd, thereby violating the duty of loyalty defendants owed Todd as a former client. As in Freeman, defendants here have failed at the first step of the anti-SLAPP analysis because plaintiffs’ allegations did not arise from protected litigation activity. Thus, even if Todd was only a former client of defendants at the time of the alleged breaches of duty (and not a current client as alleged), defendants’ anti-SLAPP motion would fail.

Finally, we reject defendants’ argument that the trial court erred in referring to Jarvis LP in its decision because Jarvis LP is not a named party in the FAC. “[A]ppellate review is not concerned with the trial court’s reasoning but only with whether the result was correct or incorrect.” (Kaldenbach v. Mutual of Omaha Life Ins. Co. (2009) 178 Cal.App.4th 830, 843; see Rappleyea v. Campbell (1994) 8 Cal.4th 975, 981 [“we cannot undo the effect of the ruling or the ensuing judgment on the ground that the court may have misapplied [a statute] as long as any other correct legal reason exists to sustain either act”].) To the extent defendants’ argument is simply that Jarvis LP was not properly named as a plaintiff in the FAC, an anti-SLAPP motion is not the appropriate vehicle to raise this issue. (See Lam v. Ngo (2001) 91 Cal.App.4th 832, 851, fn. 12 [“An anti-SLAPP suit motion is not a substitute for a demurrer or summary judgment motion.”]; Yeager, supra, 23 Cal.App.5th at p. 461.)

DISPOSITION

The order denying defendants’ anti-SLAPP motion is affirmed.

_________________________

Miller, J.

We concur:

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Kline, P.J.

_________________________

Stewart, J.

A151981, Jarvis v. Wendel, Rosen, Black & Dean, LLP, et al.

RAY CASTRO VS CITY OF WHITTIER

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Case Number: BC668699 Hearing Date: March 25, 2019 Dept: 4B

[TENTATIVE] ORDER RE: PLAINTIFF’S MOTION TO COMPEL DISCOVERY RESPONSES FROM DEFENDANT CITY OF WHITTIER AND REQUEST FOR MONETARY SANCTIONS; GRANTED

On July 18, 2017, Ray Castro (“Plaintiff”) filed this action against Defendants City of Whittier (“Defendant”), California Department of Transportation, and Sophia Grace Petoskey (collectively, “Defendants”) for dangerous condition of public property and negligence relating to a July 11, 2016 incident wherein Petoskey’s vehicle allegedly hit a piece of protruding road, causing oil from her vehicle to spill onto the roadway, which caused Plaintiff, riding his bicycle, to fall and sustain injuries. Plaintiff moves to compel discovery responses and monetary sanctions from Defendant. Two motions to compel are scheduled for hearing on March 25, 2019 and two motions are scheduled for hearing on March 26, 2019. The Court rules on all four motions in this Order and the March 26, 2019 hearings are taken off-calendar.

Where a party fails to serve timely responses to discovery requests, the court may make an order compelling responses. (Code Civ. Proc., §§ 2030.290, 2031.300; Healthcare Consulting, Inc. v. Pacific Healthcare Consultants (2007) 148 Cal.App.4th 390, 403.) A party that fails to serve timely responses waives any objections to the request, including ones based on privilege or the protection of attorney work product. (Code Civ. Proc., §§ 2030.290, subd. (a), 2031.300, subd. (a).) Unlike a motion to compel further responses, a motion to compel responses is not subject to a 45-day time limit and the propounding party has no meet and confer obligations. (Sinaiko Healthcare Consulting, Inc., supra, 148 Cal.App.4th at p. 404.)

On September 28, 2018, Plaintiff served Set One of Form Interrogatories, Special Interrogatories, Request for Admissions, and Request for Production of Documents on Defendant. (Declaration of Assal Assassi, ¶ 2.) Plaintiff’s counsel granted multiple extensions on Defendant’s responses with the final extension granted until January 11, 2019. (Assassi Decl., ¶¶ 6-11.) As of the date of filing these motions, Defendant failed to serve any responses to discovery. (Assassi Decl., ¶ 12.)

Defendant filed no opposition to these Motions, and it is undisputed it failed to serve timely responses to Plaintiff’s discovery requests. Accordingly, the Motions to compel Defendant’s responses to discovery are GRANTED and Defendant is ordered to serve verified responses, without objection, to Plaintiff’s Form Interrogatories, Special Interrogatories, Requests for Production of Documents, and Requests for Admissions, within twenty (20) days of the date of this Order.

Where the court grants a motion to compel responses, sanctions shall be imposed against the party who unsuccessfully makes or opposes a motion to compel, unless the party acted with substantial justification or the sanction would otherwise be unjust. (Code Civ. Proc., § 2030.290, subd. (c), 2031.300, subd. (c).) The request for monetary sanctions is GRANTED and imposed against Defendant and defense counsel, jointly and severally, in the reduced amount of $1,540.00 for four hours at Plaintiff’s counsel’s hourly rate of $325.00 and $240.00 in filing fees, to be paid within twenty (20) days of the date of this Order.

Moving party to give notice.

NOEL SUAREZ MELENA VS LATHAM RICHARD BELL

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Case Number: BC697051 Hearing Date: March 25, 2019 Dept: 4B

[TENTATIVE] ORDER RE: MOTION

On March 7, 2018, Plaintiffs Noel Suarez Melena (“Noel”) and Jonathan Melena (“Jonathan”) (collectively, “Plaintiffs”) filed this action against Defendants Latham Richard Bell (“Bell”) and Long Beach Unified School District (“District”) (collectively, “Defendants”) for motor vehicle negligence, general negligence, and negligent infliction of emotional distress relating to a May 4, 2017 vehicle versus pedestrian collision. Noel and Bell have settled for $150,000.00 and Jonathan and Bell have settled for $100,000.00. District contests these applications for good faith settlement.

The Court must approve any settlement entered into by less than all joint tortfeasors or co-obligors. (Code Civ. Proc., § 877.6.) This requirement furthers two sometimes-competing policies: (1) the equitable sharing of costs among the parties at fault, and (2) the encouragement of settlements. (Erreca’s v. Superior Court (1993) 19 Cal.App.4th 1475, 1487.) If the settlement is made in good faith, the Court “shall bar any other joint tortfeasor or co-obligor from any further claims against the settling tortfeasor . . . for equitable comparative contribution, or partial or comparative indemnity, based on comparative negligence or comparative fault.” (Code Civ. Proc., § 877.6, subd. (c).) The non-settling tortfeasors or obligors bear the burden of demonstrating the absence of good faith in the settlement. (Code Civ. Proc., § 877.6, subd. (d).)

In order to demonstrate a lack of good faith, the non-settling party must show that the settlement is so far “out of the ballpark” as to be inconsistent with the equitable objectives of Section 877.6. (Nutrition Now, Inc. v. Superior Court (2003) 105 Cal.App.4th 209, 213.) The Court will typically consider: (1) the plaintiff’s (roughly) approximated total recovery; (2) the settlor’s share of liability; (3) the size of the settlement at issue; (4) the distribution of settlement proceeds among plaintiffs; (5) the usual discount value when plaintiffs settle before trial; the settlor’s financial condition and insurance policy limits; and (6) whether there is evidence of “collusion, fraud, or tortious conduct aimed to injure the interests of nonsettling defendants.” (Tech-Bilt, Inc. v. Woodward-Clyde & Associates (1985) 38 Cal.3d 488, 499 (Tech-Bilt).) These factors will be evaluated accordingly to what information is available at the time of settlement. (Ibid.)

On May 4, 2017, Bell, a part-time water polo coach at Wilson High School, was driving from class to a water polo meet. Bell suffered a medical emergency while driving, which caused him to veer off the road and directly through an outdoor seating area of a Los Potros Restaurant, striking three pedestrians, including Plaintiffs. Plaintiffs filed this action against Bell and District, alleging that Bell was acting in the scope of his employment at the time of the accident.

District contests the settlement based mainly on the fact that Bell’s insurance coverage has not been exhausted. Bell’s insurance policy provides for $250,000/$500,000 in coverage, meaning up to $250,000.00 per person up to $500,000.00 per occurrence. District argues that Bell’s insurance coverage is primary to District’s pursuant to Vehicle Code section 11580.9(d). Bell was operating his own vehicle under his own insurance when the accident occurred. Therefore, regardless of whether he was acting within the scope of his employment, Bell’s insurance is primary and District’s is secondary. District argues it is only liable to the extent Bell is liable. Therefore, if Bell settles the claims against him, there is no viable theory of liability against District. District argues that if a jury were to award any additional damages, Bell should be liable for them.

Bell argues District has failed to meet its burden of showing the settlement was not made in good faith. Bell argues Noel incurred $77,983.56 in medical bills and Jonathan incurred $55,177.96 in medical bills. Bell’s settlement with each Plaintiff exceeds their medical specials. Further, this accident was the result of a medical emergency. Therefore, Bell argues the settlement is within his proportionate share of liability. Further, there is no evidence of collusion or fraud and District failed to show how Bell’s insurance being primary to its own insurance coverage is relevant to the determination of good faith settlement.

The District failed to meet its burden of showing a lack of good faith settlement. District did not discuss any of the Tech-Bilt factors besides the available insurance policy limits. District states the settlement figures are “reasonable” and generally discusses Bell’s share of liability in relation to its own in terms of which insurance policy is primary and secondary. However, it presents no information regarding Plaintiffs’ injuries, Plaintiffs’ rough approximated total recovery, the size of the settlement at issue, the discount value when settling before trial, and any evidence of fraud or collusion. District failed to show “that the settlement is so far ‘out of the ballpark’ in relation to these factors as to be inconsistent with the equitable objectives of the statute.” (Abbott Ford, Inc. v. Superior Court (1987) 43 Cal.3d 858, 874.)

Accordingly, the Motion contesting good faith settlement is DENIED. The Court finds this settlement was made in good faith and any other joint tortfeasor or co-obligor is barred from asserting further claims against Bell for equitable comparative contribution, or partial or comparative indemnity, based on comparative negligence or comparative fault.

Moving party to give notice.

SAMVEL ALOYAN v. HERMOZ B. AYVAZYAN, D.P.M.,

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Case Number: BC681125 Hearing Date: March 25, 2019 Dept: 5

Superior Court of California
County of Los Angeles
Department 5

SAMVEL ALOYAN, et al.,

Plaintiffs,

v.

HERMOZ B. AYVAZYAN, D.P.M.,

Defendants.

Case No.: BC681125

Hearing Date: March 25, 2019

[TENTATIVE] order RE:

MOTION FOR SUMMARY JUDGMENT OR ADJUDICATION BY DEFENDANT HERMOZ B. AYVAZYAN

BACKGROUND

Plaintiff Samvel Aloyan (“Plaintiff”) alleges that his feet were hurt during a fall in Armenia, and he began receiving medical treatment from Defendant Hermoz B. Ayvazyan, D.P.M. (“Defendant”) upon his return to the United States. Plaintiff alleges that Defendant was negligent in providing care and treatment, specifically not advising surgery, which aggravated Plaintiff’s injuries. Plaintiff asserts causes of action for professional negligence, negligent infliction of emotional distress, lack of informed consent, and breach of a fiduciary duty. Plaintiff’s wife, co-plaintiff Mariam Galstyan, asserts a cause of action for loss of consortium. Defendant now moves for summary judgment or, in the alternative, summary adjudication of each cause of action on two independent grounds: (1) There is no triable issue whether Defendant breached the appropriate standard of care; and (2) Any breach did not cause the injuries at issue. Plaintiff opposes the motion.

Initially, the Court held the hearing on this motion on February 27, 2019. The Court issued a tentative in advance granting summary judgment. At the hearing, Plaintiff’s counsel represented that he had not been able to take Defendant’s deposition and an expert witness’s deposition due to defense counsel’s unavailability, and he requested a continuance of the motions hearing date to do so. Plaintiff’s counsel represented that the remaining depositions may develop evidence that Defendant’s alleged breach of the standard of care caused or aggravated the injuries at issue. The Court granted the continuance and permitted each side to file a supplemental brief concerning any new arguments or evidence. Plaintiff has not filed a supplemental brief in this case or proffered any additional evidence. Therefore, the Court now grants summary judgment.

LEGAL STANDARD

In deciding a motion for summary judgment, the Court must determine whether there is sufficient evidence to create a triable issue. (Aguilar v. Atlantic Richfield Co. (2001) 25 Cal.4th 826, 843.) Code of Civil Procedure section 437c(c) “requires the trial judge to grant summary judgment if all the evidence submitted, and ‘all inferences reasonably deducible from the evidence’ and uncontradicted by other inferences or evidence, show that there is no triable issue as to any material fact and that the moving party is entitled to judgment as a matter of law.” (Adler v. Manor Healthcare Corp. (1992) 7 Cal.App.4th 1110, 1119.)

As to each claim as framed by the complaint, the defendant moving for summary judgment must satisfy the initial burden of proof by presenting facts to negate an essential element, or to establish a defense. (Code Civ. Proc., § 437c(p)(2); Scalf v. D. B. Log Homes, Inc. (2005) 128 Cal.App.4th 1510, 1520.) Courts “liberally construe the evidence in support of the party opposing summary judgment and resolve doubts concerning the evidence in favor of that party.” (Dore v. Arnold Worldwide, Inc. (2006) 39 Cal.4th 384, 389.)

Once the defendant has met that burden, the burden shifts to the plaintiff to show that a triable issue of one or more material facts exists as to that cause of action or a defense thereto.

To establish a triable issue of material fact, the party opposing the motion must produce substantial responsive evidence. (Sangster v. Paetkau (1998) 68 Cal.App.4th 151, 166.)

DISCUSSION

In a medical malpractice action, the elements are: “(1) the duty of the professional to use such skill, prudence and diligence as other members of his profession commonly possess and exercise; (2) breach of that duty; (3) a proximate causal connection between the negligent conduct and the resulting injury; and (4) actual loss or damage resulting from the professional negligence (citations omitted).” (Banerian v. O’Malley (1974) 42 Cal.App.3d 604, 612, emphasis in original.) The standard of care against which doctors are measured is a matter within the knowledge of experts. Breach of the standard of care may only be proven by expert testimony. (Landeros v. Flood (1976) 17 Cal.3d 399, 410.)

Defendant first argues that there is insufficient evidence to create a triable issue whether he breached the appropriate standard of care. Defendant proffers the declaration of Dr. Stephen C. Wan, D.P.M., F.A.C.F.A.S. (“Dr. Wan”), a specialist in the podiatric surgery. (Wan Decl. ¶ 3.) Dr. Wan opines that Defendant’s care and treatment of Plaintiff was not negligent and did not breach the standard of care. (Wan Decl. ¶¶ 7-16.) Dr. Wan opines that Defendant was monitoring the progress of the injury properly, and that he reasonably recognized that numerous factors militated against surgery in this case. (Wan Decl. ¶ 11.) This evidence satisfies Defendant’s burden of proof, shifting the burden to Plaintiff.

Plaintiff proffers a declaration from Dr. Tye J. Ouzounian, M.D. (“Dr. Ouzounian”), an orthopedic surgeon who specializes in foot and ankle disorders. (Ouzounian Decl., p. 1:17-19.) Dr. Ouzounian opines that “[t]here weeks after the injury, when he first saw [Defendant] . . . surgery would have been an appropriate treatment option.” (Ouzounian Decl., p. 5:17-20.) Dr. Ouzounian states that: “The standard of care requires that the patient be offered the options of conservative treatment, or surgery to repair the fracture.” (Ouzounian Decl., p. 5:16-17.) Dr. Ouzounian further states: “[Plaintiff] states in his declaration that he was not given the option for surgery. To a reasonable medical probability, [Defendant] failed to comply with the standard of care and treatment of [Plaintiff], because he failed to discuss and offer an option for surgical treatment of the calcaneus fracture.” (Ouzounian Decl., p. 5:22-27.)

Plaintiff’s evidence is not sufficient because he relies on case-specific hearsay, viz., Plaintiff’s statement that Defendant never advised him of the option of surgery. Per People v. Sanchez (2016) 63 Cal.4th 665, an expert may properly assume the truth of facts otherwise admitted into evidence in forming an opinion, but cannot assume facts for which no admissible evidence is before the Court. (People v. Sanchez (2016) 63 Cal.4th 665, 676-677.) In this case, Dr. Ouzounian relies exclusively on Plaintiff’s statement that Defendant never advised him of the option of surgery. This statement is hearsay when offered by Plaintiff (as opposed to being an admission of a party-opponent when offered by Defendant).[1]

Regardless, even if Dr. Ouzounian’s declaration creates a triable issue that Defendant breached the standard of care, there is no triable issue that any breach caused or aggravated Plaintiff’s injuries. The declaration of Dr. Wan, proffered by Defendant, opines that no act or omission to act on the part of Defendant caused or contributed to Plaintiff’s injury. (Wan Decl. ¶ 18.) Dr. Wan opines that Plaintiff’s injuries stemmed from his fall rather than Defendant’s care: “It is my opinion, to a reasonable medical probability, that the fractures sustained by [Plaintiff] in August of 2016 were severe and would have caused longstanding complaints regardless of care.” (Wan Decl., ¶ 7.) But to the extent Plaintiff’s injuries were caused or aggravated by someone, Defendant proffers evidence that Plaintiff rather than Defendant was responsible: “It is my opinion that, to a reasonable medical probability, that continued smoking, the overuse of the right lower extremity and the failure of the patient to follow-up timely after the visit of September 22, 2016 contributed to the poor alignment and poor healing of the factures.” (Wan Decl., ¶ 13.) This evidence satisfies Defendant’s prima facie burden.

Plaintiff proffers no evidence in response to this evidence on causation. Dr. Ouzounian’s declaration focuses exclusively on whether Defendant breached the appropriate standard of care by not recommending surgery, but the declaration does not address whether that breach caused or aggravated Plaintiff’s injuries. Dr. Ouzounian states only that surgery was an “appropriate treatment option,” and asserts that Defendant’s care fell below the standard of care by not informing Plaintiff of that option. This is fatal because “a physician is liable [for lack of informed consent] only where the failure to disclose causes the injury.” (Spann v. Irwin Memorial Blood Centers (1995) 34 Cal.App.4th 644, 657.) Even if the declaration could be read as making that link, “proffering an expert opinion that there is some theoretical possibility the negligent act could have been a cause-in-fact of a particular injury is insufficient to establish causation. . . . [T]he plaintiff must offer expert opinion that contains a reasoned explanation illuminating why the facts have convinced the expert, and therefore should convince the jury, that it is more probable than not the negligent act was a cause-in-fact of the plaintiff’s injury.” (Jennings v. Palomar Pomerado Health Systems, Inc. (2003) 114 Cal.App.4th 1108, 1118 [emphasis in original].)

This case is identical to one recently decided by the Second District. In Fernandez v. Alexander (2019) 31 Cal.App.5th 770, the plaintiff fractured her wrist, and her doctor allegedly “failed to recommend, encourage [or] perform surgery . . . instead ordering a cast.” (Id. at *1.)[2] The doctor’s expert declared that the doctor had engaged in medical treatment within the standard of care by ordering a cast. (Id. at *2.) The plaintiff’s expert declared that the “failure to discuss surgical treatment options was a breach of the standard of care” and that to “a reasonable degree of medical probability” the care provided to plaintiff breached the standard of care. The Second District concluded plaintiff’s expert’s testimony failed to address the issue of causation. His declaration did not “explain[], for example, . . . how the failure to discuss surgery at the initial consultation caused” plaintiff’s injury. Nor did the declaration “opine that surgery would have produced a better outcome” or “challenge or even address [the defendant’s expert’s] opinion that what happened to plaintiff’s hand . . . was a potential outcome of both treatments [i.e., surgery or casting].” (Id. at *6.) The Second District therefore affirmed the decision of the trial court to grant summary judgment.

At the initial hearing on this motion, Plaintiff’s counsel argues that Dr. Wan’s declaration addressed on the fractures and not the ulcers in Plaintiff’s foot, and the ulcers are what Defendant did not treat properly due to infection. Plaintiff is not correct. Dr. Wan’s declaration states specifically that Defendant acted within the standard of care “including excision of the ulcerous tissue and taking a culture of the wound to confirm lack of infection.” (Wan Decl., ¶ 12.) Plaintiff cites the deposition of Dr. Armen Hagopjanian, who testified that he treated Plaintiff’s foot after Defendant and immediately sent him to the hospital for immediate surgery. (Hagopjanian Depo. at p.39-40.) However, Dr. Hagopjanian does not attribute this need for immediate surgery to Defendant’s negligence. Nor does Dr. Hagopjanian contradict Dr. Wan’s opinion that Plaintiff rather than Defendant was responsible for the issue.

In sum, the evidence proffered by Defendant establishes that Plaintiff’s injuries were caused by his fall, and that any aggravation of those injuries stemmed from Plaintiff’s—and not Defendant’s—conduct, which defeats his professional negligence claim. Plaintiff’s claims for negligent infliction of emotional distress, lack of informed consent, and breach of a fiduciary duty fail for the same reasons, as all of these claims rely on the same legal theory, one of professional negligence. If the medical malpractice claim fails, so, too, does the loss of consortium claim. (See Blain v. Doctor’s Co. (1990) 222 Cal.App.3d 1048, 1067.) Therefore, the Court grants summary judgment.

CONCLUSION AND ORDER

Defendant’s motion for summary judgment is granted. Defendant shall give notice and file proof of such with the Court.

DATED: March 25, 2019 ___________________________

Stephen I. Goorvitch

Judge of the Superior Court

[1] According to Plaintiff, medical records establish that Defendant “gave [Plaintiff] a choice of conservative care or surgical repair of the calcaneal fracture.” (Ouzounian Decl., p.3:5-6.) This evidence likely is admissible, and would support the Court’s grant of summary judgment, because the medical records likely are business records or because Plaintiff proffered this fact, constituting an admission of a party-opponent. However, the Court does not rely on these medical records or Plaintiff’s description of their contents in granting summary judgment.

[2] Though certified for publication, this case not yet been page-numbered.

NICHOLAS W. EMMERLING v. THE CITY OF MOUNTAIN VIEW

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Filed 2/21/19 Emmerling v. City of Mountain View CA6

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

SIXTH APPELLATE DISTRICT

NICHOLAS W. EMMERLING,

Plaintiff and Appellant,

v.

THE CITY OF MOUNTAIN VIEW,

Defendant and Respondent.

H044521

(Santa Clara County

Super. Ct. No. 1-15-CV280920)

Nicholas W. Emmerling sued the City of Mountain View (City) after the Mountain View Police Department (Department) terminated him from his position as a probationary police officer. Emmerling alleged employment discrimination, retaliation, and related causes of action. He appeals a judgment entered in favor of the City following the trial court’s grant of summary judgment.

The primary issue on summary judgment concerned the Department’s motive for terminating Emmerling’s employment. Emmerling, a reservist in the California Army National Guard, contends that he was fired because he requested and took time off for protected military and family leave. The City counters that Emmerling was fired because he failed to engage in an acceptable level of “self-initiated activity” in the form of self-initiated arrests after his supervisors advised him to increase such activities.

We determine that Emmerling has presented evidence sufficient to create a triable issue of material fact as to whether the Department fired him for requesting and taking military leave. Therefore, the judgment must be reversed and the matter remanded for further proceedings. As to Emmerling’s claim of retaliation for taking family leave, we conclude that he failed to present sufficient evidence to avoid summary adjudication.

I. FACTS AND PROCEDURAL BACKGROUND

The Department hired Emmerling as a reserve (part-time) police officer in September 2008. He enlisted in the California Army National Guard in January 2009, and he was deployed to Iraq in August 2009. The Department granted him leave for one year until August 2010, after which he returned to his position as a reserve officer. The Department never denied him any request for military leave while he was employed as a reserve officer.

In early 2012, Emmerling applied for a position as a full-time police officer with the Department. Sergeant Peter De La Ossa, one of Emmerling’s supervisors in the personnel department, warned him to downplay his military experience during the interview. Sergeant De La Ossa told Emmerling that the Department had a history of not promoting or hiring active military members based on their lack of commitment to their “real” jobs with the Department.

In Emmerling’s final interview with the Chief of Police, the Chief asked Emmerling about his military commitment. Based on Sergeant De La Ossa’s advice, Emmerling “downplayed it” and responded that he had no intention to re-enlist once his enlistment was up because he wanted to make a career at the Department.

The Department hired Emmerling as a full-time officer in November 2012 with the requirement that he complete an 18-month probationary period before obtaining permanent status. Emmerling took 260 hours of leave for military duties during the 18-month probationary period. He took the two longest consecutive periods of military leave for annual trainings around August 2013 and April 2014. He also took approximately 40 hours of family leave in March 2013 and 50 hours of family leave in September 2013.

The Department regularly issued written evaluations of Emmerling’s performance throughout the probationary period. The evaluations generally described his performance in positive terms and rated him as acceptable overall. The reports contain numerous positive comments emphasizing his “proactive work ethic”; “a desire to be proactive”; “a good work ethic”; and describing him as “a pro-active officer [who] continuously seeks out crime,” among other comments.

Several reports, however, criticized Emmerling for performing inadequately by failing to execute a sufficient number of self-initiated arrests despite his supervisors urging him to increase such arrests. For example, an evaluation issued in April 2013 stated that Emmerling “consistently looks for, although not always successfully, traffic stops between calls for service. I feel that his number of subject contacts isn’t as high as it could be because Emmerling looks for a particular type of violation, and sometimes misses other opportunities.” The authoring supervisor encouraged Emmerling “to investigate further whenever he has the slightest suspicion, and to always look for an opportunity to ‘make something out of nothing.’ ” Another evaluation issued in early 2014 stated that Emmerling had made no self-initiated arrests during the preceding seven-week period. The authoring supervisor stated he had discussed this problem with Emmerling. One evaluation observed, “It should be noted that Officer Emmerling’s self initiated performance was lower this month as compared to last month due to his military commitment and the fact he only worked 8 out of the 17 possible shifts.”

Another evaluation in October 2013 stated, “Officer Emmerling is performing at an acceptable level in all categories and is one of the more proactive officers on the team. Officer Emmerling has taken a large amount of time off for his military training commitment and some personal leave. I mention the absences because of his tenure and it’s possible that his statistical information may reflect it.”

In March 2014, Emmerling notified his supervisor, Sergeant Michael Soqui, that Emmerling was due for a two-week period of military leave. Emmerling also informed his superiors that his wife was expecting a child in July 2014, and he would need to take family leave. Sergeant Soqui sent an email to his own superiors informing them that the Department would “probably need to post [overtime] when Emmerling is off.”

In several emails, Emmerling’s supervisors discussed extending his probationary period to compensate for the periods of leave. Under a Memorandum of Understanding between the City and the Mountain View Police Officers’ Association, the Department could extend an employee’s probationary period to compensate for time lost due to authorized leaves of absence.

In April 2014, one supervisor emailed another supervisor, Lieutenant Frank St. Clair, stating, “Emmerling is currently on military leave for a few weeks and then may begin his FMLA time. I would recommend extending his probation to cover the amount of time he will be on leave and unevaluated.” Lieutenant St. Clair responded, “I agree . . . how do we do that??? Hahahaha.”

Lieutenant St. Clair then emailed another supervisor as follows: “Looking at extending Emmerling’s probation, HR says it can be done but is not sure it will give us enough time to address our concerns. He has 2 months left and has missed 250 hours for military leave and 60 for attending classes, which could potentially give us 2 more months possibly less if we can only look at the 80 hours blocks as defined in our MOU. [¶] My concern is the paper trail is not there. Despite not making a proactive arrest for 9 months, he has been rated as acceptable for his self-initiated activity. He is also rated as acceptable or above in every other category. So there is no going back and moving forward, we would need to heavily document and train his deficiencies.” In April 2014, the Department notified Emmerling it was extending his probationary period by 33 days.

In May 2014, Sergeant Soqui issued a performance evaluation rating Emmerling’s “overall self-initiated activity” as “unacceptable.” The report stated he had made only one self-initiated misdemeanor arrest, zero self-initiated warrant arrests, and zero self-initiated felony arrests for the month of April. The report further stated Emmerling had “plenty of time to complete self-initiated investigations.” Apart from these statements concerning self-initiated activity, the evaluation described Emmerling’s performance positively.

Sergeant Soqui later held a conversation with Lieutenant St. Clair concerning Emmerling’s performance during a 36-hour period of duty covering three shifts in early May 2014. Sergeant Soqui told Lieutenant St. Clair that Emmerling had made no reports, citations or stops; did not contact anyone; and had “made no effort to be a proactive officer” during this period.

The Department terminated Emmerling’s employment in late May 2014 (two months after he notified the Department of his need to take additional military leave). The Department asserted that Emmerling was terminated because he failed to engage in an acceptable level of self-initiated activity after being warned on multiple occasions that self-initiated activity was “critical to his successful performance” and after having been counseled on “how to engage in it.”

Emmerling’s complaint alleged four causes of action: discrimination in violation of the California Fair Employment and Housing Act (FEHA) (Govt. Code, §§ 12900 et seq.); retaliation in violation of the FEHA (Ibid.); retaliation in violation of the California Family Rights Act (CFRA) (Govt. Code, § 12945.2); and discrimination in violation of the Military and Veterans Code (Mil. & Vet. Code, §§ 394, 395, & 564).

The City moved for summary judgment, or in the alternative, summary adjudication. The trial court granted summary judgment on all four causes of action and entered judgment in favor of the City. Emmerling timely appealed the judgment.

II. DISCUSSION

Emmerling raises both evidentiary claims and substantive claims on appeal. First, he contends that the trial court erred by excluding evidence from other military service members who described similar discrimination by the Department. Second, Emmerling argues the trial court erred by granting summary judgment because substantial evidence shows the Department terminated him for taking protected military and family leave, and its justification for doing so was pretextual. As explained further below, we agree that the trial court erred in its evidentiary rulings and in granting summary adjudication of Emmerling’s claims that the Department terminated him for taking protected military leave. We reject Emmerling’s contentions related to the trial court’s summary adjudication of his claims involving family leave. We consider the evidentiary claims first.

A. Evidentiary Rulings
B.
Emmerling contends the trial court erred by excluding multiple sources of so-called “me too” evidence—i.e., evidence pertaining to the experience of other military reservists who described similar discrimination by the Department. The City argues the court properly excluded this evidence as hearsay, lacking in foundation, and insufficiently similar to Emmerling’s allegations (“improper ‘me too’ evidence”). We conclude the trial court erred by excluding statements demonstrating animus by Department supervisors.

1. Factual Background
2.
As evidence that the Department harbored discriminatory animus toward police officers currently serving in the military, Emmerling offered declarations and deposition testimony from four other military reservists who worked as police officers in the Department: Eilaine Longshore, Ranjan Singh, Frank Rivas, and Spencer Lawrence-Emanuel. Their statements alleged adverse treatment by the Department as compared to non-reservist counterparts. The statements also described comments and remarks by supervisors evidencing animus against military reservists.

First, Emmerling offered a declaration by Eilaine Longshore, who worked as a police officer for the City while serving as an Army reservist. Longshore alleged that, during an interview for a School Resource Officer position, a supervisor asked her whether her military commitments would prevent her from performing the job. She alleged that the position was given to a non-reservist instead. She then applied for a detective position and was again asked whether her military commitments would interfere with her job. The position was again given to a non-reservist. She claimed she was told by a supervisor that her “outside commitments are a concern” and she had not demonstrated her “dedication” to the Department. After she resigned from the military, she was hired for the detective position she had previously applied for.

Second, Emmerling offered portions of deposition testimony by Army reservist Ranjan Singh. Singh testified that he was denied a position on the Department’s bicycle patrol team after a year of military deployment. Singh alleged a supervisor told him that “you’ve been gone and we don’t have a lot of evaluations to base your work habits or ethic . . . off of.” Singh testified that five persons were selected for the bicycle team, and none was a member of the military. Singh also testified that he was passed over for a position on the Department’s SWAT team, despite his SWAT experience as a military policeman. Singh opined that “the department likes ex-military, not current. And I think that’s just kind of the understanding everyone has.”

Third, Emmerling offered portions of deposition testimony by reservist Frank Rivas. Rivas testified that, after he was passed over for a position on the SWAT team, a supervisor told him he was not chosen for SWAT “because of how much [Rivas was] gone.” Rivas’s boss told him “the thought among supervisors” was that Rivas needed to decide whether he wanted to “play Army or be a police officer.” On another occasion, after Rivas informed a superior (Lieutenant Greg Oselinksy) that he (Rivas) would have to miss a training day to perform reserve service, Lieutenant Oselinksy asked him if he had to leave for that “gay military stuff” or “homo military stuff.” On another occasion, Sergeant De La Ossa told Rivas “as long as [he was] in the [military] reserves, [he] probably wouldn’t get promoted . . . .”

Fourth, Emmerling offered a declaration from Spencer Lawrence-Emanuel, a Reconnaissance Marine in the Marine Corp Reserves. Lawrence-Emanuel stated that the Department terminated him without any warning or counseling two weeks after he informed the Department he would be taking military leave. He was given no explanation for his firing other than being told he was not “a good fit” with the Department. At one point during his probationary period, Sergeant Michael Soqui—who was also responsible for evaluating Emmerling’s performance as of February 2014—made a derogatory comment about Lawrence-Emanuel’s leave. Sergeant Soqui stated something to the effect of “Spencer’s going on vacation next week” even though Sergeant Soqui knew Lawrence-Emanuel was taking military leave.

3. Procedural Background
4.
The City lodged a large number of objections to this evidence on a line-by-line basis. Generally, the City lodged multiple objections to each statement on the grounds that the statements were hearsay and double hearsay; lacking in personal knowledge; speculative; irrelevant and immaterial; and improper “me too” evidence because the statements lacked a sufficient degree of similarity to Emmerling’s allegations.

The trial court sustained 27 of the City’s objections without stating the basis for any specific ruling. The court declined to rule on the remaining objections, which numbered in the hundreds. Although the court did not set forth the grounds for any specific ruling, in its written order the trial court referenced the “me too” evidence and stated, “the declarations and deposition testimony submitted by Plaintiff are the subject of the City’s evidentiary objections that were sustained . . . by the Court.” In finding that Emmerling failed to set forth substantial evidence of pretext, the court’s ruling stated that “the factual circumstances involving these other officers differs from Plaintiff in this case. For example, the deposition testimony from Officer Frank Rivas fails to show that any adverse employment action was taken against him because of military leave. Thus, this evidence also falls short of showing that the City acted with any discriminatory animus against the Plaintiff.”

5. Standard of Review
6.
The parties dispute the standard of review for evidentiary rulings on summary judgment. The City contends the weight of authority favors an abuse of discretion standard. As Emmerling points out, however, the California Supreme Court has declined to set forth a standard. (Reid v. Google, Inc. (2010) 50 Cal.4th 512, 535 (Reid).) He argues we should review the trial court’s evidentiary rulings de novo. Prior rulings of this court have reasoned that de novo review is the appropriate standard because the trial court’s rulings “were determined on the papers and based on questions of law.” (Pipitone v. Williams (2016) 244 Cal.App.4th 1437, 1451.) We need not decide the question here, because we would find the trial court erred under either standard of review. As to objections on which the trial court failed to rule, “it is presumed that the objections have been overruled, the trial court considered the evidence in ruling on the merits of the summary judgment motion, and the objections are preserved on appeal.” (Reid, supra, 50 Cal.4th at p. 534.)

7. Evidence Relevant to Pretext
8.
Emmerling contends that the trial court erred by sustaining the City’s objections and by failing to consider the proffered statements as sufficient evidence of pretext. The City maintains that the court properly excluded this evidence as hearsay, lacking in foundation, and insufficiently similar to the facts of Emmerling’s case. The City argues that Emmerling failed to show the other reservists were similarly situated because they did not suffer adverse employment actions, and the decision-makers in charge of their employment were not the same supervisors involved in Emmerling’s termination. Emmerling characterizes the City’s objections as “scatter-shot,” thereby providing “no clear basis for the trial court’s ruling.” He further contends the reservists’ statements were admissible as discriminatory remarks (also called “stray remarks”) demonstrating animus against reservists by Department supervisors.

Under California law, discriminatory remarks may be relevant to show animus, even when uttered by a non-decision-maker. (Reid, supra, 50 Cal.4th at p. 539.) “Although stray remarks may not have strong probative value when viewed in isolation, they may corroborate direct evidence of discrimination or gain significance in conjunction with other circumstantial evidence. Certainly, who made the comments, when they were made in relation to the adverse employment decision, and in what context they were made are all factors that should be considered. Thus, a trial court must review and base its summary judgment determination on the totality of evidence in the record, including any relevant discriminatory remarks.” (Id. at p. 541.) As set forth below, such evidence does not require a hearsay exception when out-of-court statements are not offered for the truth of the matter. That is, discriminatory remarks may be admitted to show a supervisor’s discriminatory state of mind and not to prove the literal truth of the relevant statement. Here, the relevance of discriminatory remarks would be to show that the Department harbored animus against officers currently serving in the military.

At least two of the statements offered by fellow reservists were relevant under this theory. First, Spencer Lawrence-Emanuel stated that Sergeant Soqui made a derogatory comment about Lawrence-Emanuel’s leave service—something to the effect of, “Spencer’s going on vacation next week.” Sergeant Soqui was responsible for evaluating Emmerling’s performance as of February 2014, and Sergeant Soqui authored the May 2014 performance evaluation that rated Emmerling’s “overall self-initiated activity” as “unacceptable.”

The City objected on multiple grounds to Lawrence-Emanuel’s “going on vacation” statement. The pertinent objections included hearsay, relevance, and “improper ‘me too’ evidence.” The trial court excluded the testimony but did not set forth grounds or cite any particular objection in its ruling.

In support of its objection below on “improper ‘me too’ ” grounds, the City cites Schrand v. Federal Pacific Elec. Co. (6th Cir. 1988) 851 F.2d 152, 156 (Schrand). But Schrand is inapposite. In Schrand, the Court of Appeal held reports of discriminatory statements to be irrelevant where the reports were made by employees who were working in completely different offices than the plaintiff—i.e., employees who were “working in places far from the plaintiff’s place of employment, under different supervisors.” (Ibid.) Here, by contrast, the derogatory comment was made by a supervisor in the same department who authored a critical performance evaluation of Emmerling.

We conclude Lawrence-Emanuel’s statement was admissible as evidence of discrimination under Reid, supra, 50 Cal.4th 512. The statement was relevant as evidence of animus towards reservists by Sergeant Soqui, who authored a critical performance evaluation just before Emmerling was fired, and the statement was not hearsay because it was not offered for its truth. The evidentiary value of the statement to Emmerling’s complaint is precisely that the statement was not true. Sergeant Soqui’s characterization of military leave as “vacation” is relevant to animus because military leave is not vacation.

Similarly, after Frank Rivas told Lieutenant Oselinsky that Rivas would miss a day of training to perform reserve service, Lieutenant Oselinsky asked Rivas if he had to leave for that “gay military stuff” or “homo military stuff.” Lieutenant Oselinsky was in charge of training before Lieutenant St. Clair took over, and Lieutenant Oselinsky was one of the officers who had reviewed Emmerling’s performance evaluations.

The City objected on multiple grounds to several portions of Rivas’s deposition, including the “gay military stuff” or “homo military stuff” testimony described above. The pertinent objections argued by the City included hearsay, relevance, and “improper ‘me too’ evidence.” The trial court excluded the testimony but did not set forth grounds or cite any particular objection in its ruling. We conclude that the statement is admissible, because it is is relevant as evidence of animus by one of Emmerling’s supervisors, who was involved in evaluating Emmerling’s performance, and the statement was not offered for its truth. It therefore does not constitute hearsay. We conclude the trial court erred by excluding this evidence.

We recognize that, under Reid, the admissibility of the declarations containing statements made by Sergeant Soqui and Lieutenant St. Clair also depends on the particular facts of the case and the strength of the other evidence elicited. (See Reid, supra, 50 Cal.4th at p. 545.) As Reid observed, “a slur, in and of itself, does not prove actionable discrimination.” (Id. at p. 541.) Our conclusion that the trial court erred in excluding these statements is bolstered by the other evidence proffered by Emmerling, which we discuss further below. As we will explain, the evidence related to pretext described above, considered with other evidence Emmerling presented, is sufficient to create a triable issue of material fact as to whether the City’s decision to terminate Emmerling in fact resulted from discriminatory animus.

C. The Trial Court’s Grant of Summary Judgment
D.
Emmerling appeals the judgment entered in favor of the City following the trial court’s grant of summary judgment on all four causes of action. He contends that he put forth substantial evidence supporting a prima facie case that the City terminated his employment because he took protected military and family leave. The City argues that these claims are unsupported by substantial evidence and that the record instead shows the Department had legitimate, nondiscriminatory motives to terminate Emmerling. Specifically, the City argues that the evidence shows Emmerling was fired due to his lack of self-initiated activity and his failure to adhere to his supervisors’ instructions to initiate such activity. Emmerling counters that substantial evidence shows this justification was pretextual.

Whether the trial court erred by granting a defendant’s motion for summary judgment is a question of law we review de novo. (Samara v. Matar (2018) 5 Cal.5th 322, 338.) We must “ ‘independently examine the record to determine whether triable issues of material fact exist.’ ” (Reeves v. Safeway Stores, Inc. (2004) 121 Cal.App.4th 95, 106 (Reeves).)

“Because a summary judgment denies the adversary party a trial, it should be granted with caution. [Citation.] Declarations of the moving party are strictly construed, those of the opposing party are liberally construed, and doubts as to whether a summary judgment should be granted must be resolved in favor of the opposing party. The court focuses on issue finding; it does not resolve issues of fact.” (Johnson v. United Cerebral Palsy/Spastic Children’s Foundation of Los Angeles and Ventura Counties (2009) 173 Cal.App.4th 740, 754 (Johnson).)

1. Legal Standards
2.
a. The McDonnell Douglas Test
b.
As pertinent to the first three causes of action, “California has adopted the three-stage burden-shifting test established by the United States Supreme Court for trying claims of discrimination, . . . , based on a theory of disparate treatment.” (Guz v. Bechtel Nat. Inc. (2000) 24 Cal.4th 317, 354, (Guz), citing McDonnell Douglas Corp. v. Green (1973) 411 U.S. 792 (McDonnell Douglas).) “At trial, the McDonnell Douglas test places on the plaintiff the initial burden to establish a prima facie case of discrimination.” (Guz, at p. 354.)

In summary judgment proceedings, however, “ ‘the trial court will be called upon to decide if the plaintiff has met his or her burden of establishing a prima facie case of unlawful discrimination. If the employer presents admissible evidence either that one or more of plaintiff’s prima facie elements is lacking, or that the adverse employment action was based on legitimate, nondiscriminatory factors, the employer will be entitled to summary judgment unless the plaintiff produces admissible evidence which raises a triable issue of fact material to the defendant’s showing. In short, by applying McDonnell Douglas’s shifting burdens of production in the context of a motion for summary judgment, “the judge [will] determine whether the litigants have created an issue of fact to be decided by the jury. . . .” ’ ‘ “In other words, the burden is reversed in the case of a summary issue adjudication or summary judgment motion . . . .” ’ [Citation.]” (Sada v. Robert F. Kennedy Medical Center (1997) 56 Cal.App.4th 138, 150-151, fn. omitted.)

“Legitimate reasons are those ‘that are facially unrelated to prohibited bias, and which, if true, would thus preclude a finding of discrimination. [Citations.]’ [Citation.] The employer’s reasons ‘need not necessarily have been wise or correct,’ so long as they were not discriminatory. [Citation.] Such a showing by the employer rebuts the presumption of unlawful discrimination, requiring the plaintiff-employee to come forward with evidence that the challenged treatment was in fact the product of an unlawful discriminatory motive. [Citation.]” (Cheal v. El Camino Hospital (2014) 223 Cal.App.4th 736, 754.)

“[W]hen the employer proffers a facially sufficient lawful reason for the challenged action, the entire McDonnell Douglas framework ceases to have any bearing on the case, and the question becomes whether the plaintiff has shown, or can show, that the challenged action resulted in fact from discriminatory animus rather than other causes.” (Reeves, supra, 121 Cal.App.4th at p. 112.) In other words, here the question is whether Emmerling can show that the City’s claim that it fired him due to his failure to engage in “self-initiated activity” was pretextual.

“ ‘[T]he plaintiff may establish pretext “either directly by persuading the court that a discriminatory reason more likely motivated the employer or indirectly by showing that the employer’s proffered explanation is unworthy of credence.” ’ [Citations.] Circumstantial evidence of ‘ “pretense” must be “specific” and “substantial” in order to create a triable issue with respect to whether the employer intended to discriminate’ on an improper basis. [Citations.] With direct evidence of pretext, ‘ “a triable issue as to the actual motivation of the employer is created even if the evidence is not substantial.” [Citation.] The plaintiff is required to produce “very little” direct evidence of the employer’s discriminatory intent to move past summary judgment.’ [Citation.]” (Morgan v. Regents of University of Cal. (2000) 88 Cal.App.4th 52, 68-69, fn. omitted.)

c. Military and Veterans Code
d.
Similar principles govern the fourth cause of action (discrimination in violation of the Military and Veterans Code). (Flores v. Von Kleist (2010) 739 F.Supp.2d 1236, 1258.) “To prevail on his [or her] claim, Plaintiff has the ‘burden of showing, by a preponderance of the evidence, that his [or her] . . . [military service] was a substantial or motivating factor in the adverse employment action; the employer may then avoid liability only by showing, as an affirmative defense, that the employer would have taken the same action without regard to the employee’s [military service].’ [Citation.] ‘Whether an employer has the requisite discriminatory motive is a question of fact. Nonetheless, the Court may grant summary judgment if it finds there is no genuine dispute as to that fact . . . .’ [Citation.]” (Ibid.)

3. First, Second, and Fourth Causes of Action—Discrimination and Retaliation Based on Military Leave
4.
The first, second, and fourth causes of action alleged the City terminated Emmerling for taking protected military leave. The City does not dispute that Emmerling was in a protected class (the military); that he was qualified for the position of full-time police officer; that he suffered an adverse employment action; and that the taking of military leave was legally protected. The only matters of dispute concern the City’s motives for terminating Emmerling’s employment and whether the City’s asserted nondiscriminatory justification—the lack of self-initiated activity—was pretextual. The merits of the City’s summary judgment motion turn on the same disputed matters with respect to all three causes of action. Accordingly, we consider them together.

A defendant employer moving for summary judgment may prevail on its motion either by showing that the plaintiff cannot demonstrate a prima facie case or by setting forth admissible, competent evidence of legitimate, nondiscriminatory reasons for terminating the plaintiff’s employment. (See Guz, supra, 24 Cal.4th at p. 360.) We conclude that Emmerling has established a prima facie case of discrimination based on his military service. During the application process for the position as a full-time officer, Sergeant De La Ossa advised Emmerling to downplay his military experience because the Department had a history of not promoting or hiring active military members based on their lack of commitment to their “real” jobs with the Department. In the final interview for the position, the Chief of Police explicitly asked about Emmerling’s military commitment, whereupon Emmerling responded that he had no intention to re-enlist once his current enlistment expired.

After the Department hired Emmerling on probationary status, he took a substantial amount—260 hours—of protected military leave during the probationary period. Emmerling’s supervisors then discussed the possibility of extending his probationary period to compensate for his leave, prompting Lieutenant St. Clair to respond, “[H]ow do we do that??? Hahahaha.” Lieutenant St. Clair then stated, “My concern is the paper trail is not there,” and he added that “we would need to heavily document and train his deficiencies.” The City points out that its Memorandum of Understanding with the Mountain View Police Officers’ Association allowed for such probationary extensions for the taking of leave, which Emmerling does not dispute. But given the tenor of Lieutenant St. Clair’s statements, a reasonable juror could infer that these remarks demonstrated animus in reaction to Emmerling’s requests for military leave. The Department terminated Emmerling’s employment two months after he notified the Department of his need to take additional military leave.

Turning to the City’s contention that the Department had legitimate, nondiscriminatory reasons for terminating the Emmerling’s employment, the City asserts that he failed to perform with an acceptable level of self-initiated activity despite his supervisors’ instructions to do so. In support, the City puts forth several of Emmerling’s performance evaluations that contain statements describing his low level of self-initiated activity and the need to improve his arrest numbers. The City thereby has presented admissible evidence that the Department terminated Emmerling due to his inadequate performance. Having presented admissible evidence that its decision to terminate Emmerling was based on legitimate, nondiscriminatory factors, the burden shifts to Emmerling to show substantial evidence that the City’s decision to fire him was based on pretext or discriminatory animus, thereby raising a triable issue of material fact regarding the true reason he was fired. (See Johnson, supra, 173 Cal.App.4th at p. 756.)

We conclude that Emmerling has put forth substantial evidence showing the Department actually fired him for requesting and taking military leave. The record contains conflicting characterizations of Emmerling’s performance, and he disputes the Department’s factual claims regarding his level of self-initiated activity. The record shows the reports prior to May 2014 were generally positive and his performance was rated as acceptable. And several of Emmerling’s supervisors’ statements were belied by evidence showing he in fact made self-initiated arrests during the periods in question. As to Lieutenant St. Clair’s April 2014 “paper trail” email claiming Emmerling had not made a proactive arrest in the prior nine months, Emmerling asserts that he made two self-initiated arrests in March 2014 and at least two self-initiated arrests in February 2014. Emmerling’s assertions on this point are corroborated by his performance evaluations. A report covering March 2014 stated he made two self-initiated misdemeanor arrests, and a report covering February 2014 stated he made one self-initiated misdemeanor arrest and one self-initiated warrant arrest. In November 2013, another supervisor congratulated Emmerling for an arrest with an email stating, “Nice Pinch Nick!”

Emmerling also disputes the City’s claim that he lacked self-initiated arrests around May 2014. He asserts that “[t]hroughout May 2014, I responded to many calls for service and engaged in significant self-initiated activity, including making numerous traffic stops, writing citations, and at least 5 self-initiated arrests. . . . [¶] . . . During my final weekend shift at MVPD, May 16 through May 18, 2014, I made 3 self-initiated arrests, at least 3 traffic stops, and was continuously engaging in other self-initiated activity like running vehicles’ license plates.” This evidence supports a reasonable inference that Emmerling’s supervisors made multiple false statements concerning the extent of his self-initiated activity.

The City contends it does not matter whether the supervisors’ claims were accurate, relying on King v. United Parcel Service (2007) 152 Cal.App.4th 426, 436 (“It is the employer’s honest belief in the stated reasons for firing an employee and not the objective truth or falsity of the underlying facts that is at issue in a discrimination case.”) But this argument assumes that the employer’s belief in the stated reasons was honest. Given the evidence in this record, a reasonable juror could infer otherwise.

Furthermore, the record shows that the Department had a more practical motive for discriminating against reservists. As Sergeant De La Ossa testified, “Scheduling is always a nightmare for making sure that we have the amount—the right amount of resources on the street.” Sergeant De La Ossa went on to explain that this scheduling “nightmare” constituted a “sore spot” for the supervisor of another reservist (Frank Rivas) who had taken military leave. One of Emmerling’s supervisors complained of the same problem, noting that as a result of Emmerling’s request for leave in March 2014 the Department would “probably need to post [overtime] when Emmerling is off.” The short lapse of time (two months) between Emmerling’s notification that he would need to take additional leave for military service and his termination date provides additional support that the latter decision was a response to his request for leave. While we recognize the scheduling difficulties caused by military leave, the City points to nothing in the law permitting employers to treat reservists less favorably in response to such logistical complications.

In considering this evidence, the trial court erred by drawing inferences in favor of the City where a reasonable factfinder could have drawn an opposite inference in favor of Emmerling. For example, the trial court inferred that statements by his supervisors that inaccurately undercounted his self-initiated arrests were good-faith mistakes, whereas a reasonable factfinder could have found them to be evidence of animus. Such evidentiary evaluations fall within the the jury’s purview and should not have been decided by the trial court on summary judgment. Viewing the evidence in the light most favorable to Emmerling, we conclude that a reasonable juror could find that the City terminated his employment because of his requests for lengthy military leaves rather than because the City believed he did not initiate a sufficient number of arrests and traffic stops.

In addition to the above evidence of a material dispute over the performance evaluations, Emmerling has put forth evidence showing that supervisors involved in writing and reviewing his performance reports harbored animus against reservists. Sergeant Soqui, who authored the May 2014 critical performance evaluation, made a derogatory comment about another reservist’s leave, referring to it as “vacation.” And Lieutenant Oselinksy, who reviewed Emmerling’s performance evaluations, referred to military leave as “gay military stuff” or “homo military stuff.” A reasonable juror could infer from such remarks that Emmerling’s supervisors acted with discriminatory intent when writing and reviewing his performance evaluations. As Emmerling points out, “[I]t is permissible for the trier of fact to infer the ultimate fact of discrimination from the falsity of the employer’s explanation.” (Reeves v. Sanderson Plumbing Products, Inc. (2000) 530 U.S. 133, 147.) “Pretext may be demonstrated by showing ‘. . . that the proffered reason had no basis in fact . . . . [Citation.]’ [Citation.]” (Hanson v. Lucky Stores, Inc. (1999) 74 Cal.App.4th 215, 224, fn. omitted.) Emmerling has put forth admissible evidence sufficient to support an inference that his supervisors’ performance evaluations were unfairly tilted or colored against him for discriminatory reasons.

In sum, the evidence created a triable issue of material fact as to whether the Department’s firing of Emmerling was motivated by his requesting and taking military leave. As illustrated by the parties’ own arguments about the facts, portions of the record support Emmerling’s version of events, and other parts support the City’s version. But it is not this court’s duty to weigh the evidence. To the contrary, we must “view the evidence in the light most favorable to the opposing party and accept all inferences reasonably drawn therefrom.” (DeJung v. Superior Court (2008) 169 Cal.App.4th 533, 549.) A reasonable juror could find that this evidence supported an inference that the Department treated Emmerling unfavorably based on a discriminatory intent toward reservists. The same facts and inferences provide substantial evidence that Emmerling’s military leave was “ ‘a substantial or motivating factor’ ” in his termination. (Flores v. Von Kleist, supra, 739 F.Supp.2d at p. 1258 [applying the Military and Veterans Code].) Accordingly, we conclude the trial court erred by granting summary adjudication of the first, second, and fourth causes of action.

5. Third Cause of Action—Discrimination Based on Family Leave
6.
Although Emmerling’s briefs mostly address the claims of discrimination and retaliation based on his taking of military leave, he further contends the trial court erred by granting summary adjudication on the third cause of action (alleging retaliation for taking family leave). After reviewing the evidence, we conclude that Emmerling has not put forth substantial evidence showing the Department actually fired him for requesting and taking family leave.

First, Emmerling took and requested far less time for family leave as compared with military leave. While he took 260 hours of military leave during the 18-month probationary period, he only took only 90 hours of family leave. Second, in contrast to evidence of the Department’s attitudes toward military members, Emmerling put forth no evidence that the Department was motivated by animus towards officers who took or requested family leave. We conclude no reasonable juror could find that the Department terminated Emmerling’s employment for taking family leave. Therefore, the trial court did not err in granting summary adjudication on this cause of action.

III. DISPOSITION

The judgment is reversed. The trial court is directed to vacate its order granting summary judgment and enter a new order granting summary adjudication of the third cause of action and denying summary adjudication of the first, second, and fourth causes of action. Costs on appeal are awarded to Emmerling.

______________________________________

DANNER, J.

WE CONCUR:

____________________________________

ELIA, ACTING P.J.

____________________________________

GROVER, J.

Emmerling v. The City of Mountain View

H044521

MONTEREY BAY MILITARY HOUSING, LLC v. AMBAC ASSURANCE CORPORATION

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Filed 2/21/19 Monterey Bay Military Housing, LLC v. Ambac Assurance Corp. CA6

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

SIXTH APPELLATE DISTRICT

MONTEREY BAY MILITARY HOUSING, LLC, et al.,

Plaintiffs and Respondents,

v.

AMBAC ASSURANCE CORPORATION et al.,

Defendants and Appellants.

___________________________________

JEFFERIES MORTGAGE FINANCE, INC.,

Third Party and Appellant. H044948

(Monterey County

Super. Ct. No. 15CV000599)

Third party Jefferies Mortgage Finance Inc. (Jeffries) appeals several discovery orders entered against it in the trial court. While the appeal was pending, the underlying litigation was settled and dismissed rendering the discovery orders and this appeal moot. Instead of dismissing its appeal, Jefferies asks us to vacate the orders. Respondents Monterey Bay Military Housing LLC and Monterey Bay Land LLC (respondents) do not oppose the motion. We will treat the motion as one for stipulated reversal and grant it.

I. PROCEDURAL BACKGROUND
II.
Respondents were developers involved in efforts to privatize a military housing development at the Presidio of Monterey. Ambac Assurance Corporation (Ambac) provided credit enhancement for the project. Respondents brought an action against Ambac (Underlying Action), for declaratory relief regarding respondents’ duties to fund debt reserves for the project.

Jefferies was a not a party to the Underlying Action. Rather, Jefferies had acquired certain assets including the note for a loan that had been provided for the project. Respondents sought discovery from Jefferies regarding the Monterey projects involved in the Underlying Action, as well as numerous other military housing projects around the country. While Jefferies produced many documents in response to respondent’s subpoena, respondents filed numerous motions to compel further production. The trial court granted a number of motions to compel. Jefferies appealed these orders. Subsequently, Ambac filed an appeal from the judgment in the Underlying Action.

While the appeals were pending, respondents and Ambac settled the Underlying Action. Jefferies was not a party to this settlement. Respondents filed an “Acknowledgement of Satisfaction of Judgment” in the Underlying Action pursuant to Code of Civil Procedure section 724.030 on July 2, 2018, and the parties moved this court to dismiss Ambac’s appeal. We dismissed Ambac’s appeal by order dated July 3, 2018.

Thereafter, Jefferies and respondents jointly moved this court to vacate the discovery orders and dismiss the appeal as moot. We denied the motion without prejudice to filing a motion pursuant to Code of Civil Procedure section 128, subdivision (a)(8). Jefferies again moves to vacate the orders and dismiss the appeal or, in the alternative, for a stipulated reversal of the discovery orders. Jefferies states that reversal is necessary because the parties continue to litigate these discovery issues in litigation that is ongoing in federal court. Respondents do not oppose Jefferies’ motion.

III. DISCUSSION
IV.
The parties have stipulated that, by virtue of the respondents’ settlement of the Underlying Action with Ambac, the discovery orders directed to third-party Jefferies “are no longer operative, Respondents will not seek to enforce them against Jefferies and this appeal is moot.” Instead of requesting dismissal of the appeal as moot, Jefferies requests that we reverse the discovery orders pursuant to the parties’ stipulation.

A. Reversal and Remand Pursuant to Paul v. Milk Depots, Inc. (1964) 62 Cal.2d 129 is not Appropriate
B.
Jefferies contends that where events subsequent to the filing of an appeal have rendered the orders appealed from moot, the preferable procedure is to vacate the superior court’s orders, while “qualif[ying]” the vacatur “so as not to imply that the judgment was in error, only moot.” (Coalition for a Sustainable Future in Yucaipa v. City of Yucaipa (2011) 198 Cal.App.4th 939, 943-944 (Coalition for a Sustainable Future in Yucaipa).) In Coalition for a Sustainable Future in Yucaipa, the trial court denied a writ of mandate related to the construction of a shopping center project. By the time the appeal from that order was at issue, the project had been abandoned. Relying on Paul v. Milk Depots, Inc. (1964) 62 Cal.2d 129 (Paul), the Court of Appeal reversed the judgment, specifying that the reversal did not imply that the judgment was erroneous on the merits, but that the reversal was intended to return jurisdiction to the trial court with direction to dismiss the underlying action as moot. (Coalition for a Sustainable Future in Yucaipa, supra, at pp. 941-942.)

In Paul the Department of Agriculture sought an injunction and penalties against a company that sold milk below the price specified by relevant regulation. The trial court entered an order and the Department appealed. Before the appeal could be decided, both the regulation in question and the company ceased to exist. In reversing and remanding to the trial court to dismiss the underlying action as moot, the Supreme explained that, “when a case becomes moot pending an appellate decision ‘the court will not proceed to a formal judgment, but will dismiss the appeal.’ [Citation.] . . . ‘The dismissal of an appeal is in effect an affirmance of the judgment or order appealed from . . . .’ As we do not reach the merits of the appeal in the case at bench, it is appropriate to avoid thus ‘impliedly’ affirming a judgment . . . . Since the basis for that judgment has now disappeared we should ‘dispose of the case, not merely of the appellate proceeding which brought it here.’ [Citation.] That result can be achieved by reversing the judgment solely for the purpose of restoring the matter to the jurisdiction of the superior court, with directions to the court to dismiss the proceeding. [Citations.] Such a reversal, of course, does not imply approval of a contrary judgment, but is merely a procedural step necessary to a proper disposition of this case.” (Paul, supra, 62 Cal.2d at pp. 134-135.)

Jefferies’ reliance on the Paul line of cases is misplaced because the case before us is factually distinguishable. The Paul and Coalition for a Sustainable Future in Yucaipa courts reversed the judgments on appeal primarily to return jurisdiction of the litigation to the trial court so it could enter an order terminating the moot litigation. In those cases, the conditions leading to the litigation itself—regulations, parties and projects—had ceased to exist, but the litigation continued by way of appeal. The disposition was justified because not only was the appeal moot, but the entire controversy underlying the litigation was moot. Dismissing the appeal alone would not correctly reflect the status of the controversy. The appellate courts concluded that reversal and remand was the correct procedural mechanism to allow the trial court to respond to the change in circumstances, and to “ ‘dispose of the case, not merely of the appellate proceeding.’ ” (Paul, supra, 62 Cal.2d at p. 135.)

Similar circumstances do not exist here. All discovery orders issued in the underlying litigation, including those issued against third party Jefferies, have become moot by virtue of the fact that the underlying litigation itself has been settled and dismissed. Civil discovery is intended to ease the course of litigation and the pretrial process. (Fuss v. Superior Court for Los Angeles County (1969) 273 Cal.App.2d 807, 818.) Discovery orders entered during the pretrial process generally have no lasting import once the litigation in which the orders are issued ends. Absent unusual circumstances, an appeal therefrom is moot once the underlying litigation has been settled and dismissed. There is nothing unusual about the orders on appeal here.

However, while the appeal is moot, a Paul disposition of reversal and remand is not appropriate in this case. First, by the parties’ own admission, the discovery controversies addressed in the orders on appeal are not moot because they continue in other litigation in other courts. The parties desire a reversal instead of a dismissal to preclude any collateral estoppel effect these orders may have on ongoing litigation. Second, reversal and remand to the trial court for the purpose of dismissing the action would be futile where the underlying action has already been dismissed by the parties and the discovery orders create no further obligation in this case. Therefore, Paul does not afford the parties the remedy they seek.

C. Stipulated Reversal
D.
Alternatively, Jefferies requests that we grant its motion for stipulated reversal pursuant to Code of Civil Procedure section 128, subdivision (a)(8). That section, in relevant part states, “An appellate court shall not reverse or vacate a duly entered judgment upon an agreement or stipulation of the parties unless the court finds both of the following: [¶] (A) There is no reasonable possibility that the interests of nonparties or the public will be adversely affected by the reversal. [¶] (B) The reasons of the parties for requesting reversal outweigh the erosion of public trust that may result from the nullification of a judgment and the risk that the availability of stipulated reversal will reduce the incentive for pretrial settlement.” A request for stipulated reversal is the appropriate vehicle for obtaining a reversal of the orders on appeal here.

The parties stipulate that the orders, “are no longer operative,” and that “Respondents will not seek to enforce them against Jefferies . . . .” The reason that the parties seek a stipulated reversal, instead of simply dismissing the appeal as moot, is to “permit the parties to litigate the issues giving rise to those orders elsewhere.” They contend that the now moot orders have not been fully litigated, and should not, therefore, have a “preclusive effect” in other ongoing litigation. The parties continue to litigate the issues addressed by these orders in federal court. A reversal, they contend, will allow the parties to fully develop and resolve these issues on the merits in litigation that has not been dismissed.

The motion supports the conclusion that a stipulated reversal is appropriate under the facts of this case and the law. (See Code Civ. Proc., § 128, subd. (a)(8).) For the reasons stated in the motion for stipulated reversal—including allowing the parties to resolve the underlying issues in a venue where the case continues to be litigated, rather than be collaterally estopped by moot orders that have not been fully litigated—the court finds that there is no possibility that the interests of nonparties or the public will be adversely affected by the reversal.

This court further finds that the parties’ grounds for requesting reversal are reasonable. Those grounds outweigh the erosion of public trust that may result from the nullification of the orders and outweigh the risk that the availability of a stipulated reversal will reduce the incentive for pretrial settlement. The discovery orders on appeal were collateral to the Underlying Action as they were directed to third parties. The Underlying Action having been settled and dismissed, the orders can have no impact on this case, and also cannot be fully tested and litigated. However, the parties continue to litigate the issues involved in this discovery dispute in another venue. We find there will be no erosion of public trust if we reverse the orders entered in this action and allow the parties to fully litigate these disputes in an action that is ongoing.

V. DISPOSITION
VI.
The judgment is reversed pursuant to the stipulation of the parties. Each party shall bear its own attorney fees and costs on appeal. The remittitur shall issue forthwith.

_______________________________

Greenwood, P.J.

WE CONCUR:

_____________________________________

Elia, J.

______________________________________

Grover, J.

Monterey Bay Military Housing, LLC et al. v. Ambac Assurance Corporation

No. H044948


CBS BROADCASTING INC v. SUPERIOR COURT OF LOS ANGELES COUNTY

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Filed 2/21/19 CBS Broadcasting Inc. v. Superior Court CA2/7

NOT TO BE PUBLISHED IN THE OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

SECOND APPELLATE DISTRICT

DIVISION SEVEN

CBS BROADCASTING INC., et al.,

Petitioners,

v.

SUPERIOR COURT OF LOS ANGELES COUNTY,

Respondent;

TOP KICK PRODUCTIONS, INC., et al.,

Real Parties in Interest. B292277

(Los Angeles County

Super. Ct. No. BC692372)

ORIGINAL PROCEEDING. Petition for writ of mandate, David Sotelo, Judge. Petition for writ of mandate granted.

Manatt, Phelps & Phillips, LLP and John M. Gatti, Benjamin G. Shatz, Emil Petrossian, and Lauren J. Fried for Petitioners.

No appearance for Respondent.

Baute Crocheteire & Hartley, LLP, Mark D. Baute, Scott J. Street, and Artyom Baghdishyan for Real Parties in Interest.

__________________________

Plaintiff and real party in interest Top Kick Productions Inc., filed a motion to disqualify counsel for petitioners and defendants CBS Broadcasting Inc. and CBS Corporation. Before the trial court heard the disqualification motion, CBS filed a petition to compel arbitration and a motion to stay the litigation pursuant to California Code of Civil Procedure section 1281.4. CBS challenges the trial court’s denial of its stay request; we agree that the trial court erred.

FACTUAL BACKROUND

Top Kick Productions, Inc. (Top Kick) is a production company owned by actor Chuck Norris. The company produced the hit television show Walker, Texas Ranger (Walker), which starred Norris. In 1993, Top Kick entered into a distribution agreement with CBS Broadcasting Inc. and CBS Corporation (CBS) under which CBS agreed to pay Top Kick 20 percent of profits earned from the exploitation of Walker. Under the agreement, CBS was required to issue quarterly statements and Top Kick was entitled to audit CBS’s books.

Top Kick initiated its first audit between 1995 and 1997 and its second audit in 2011. The parties resolved both disputes with settlement agreements containing arbitration clauses. The 1999 agreement provides: “CBSP and Artist/Top Kick agree that with respect to any subsequent audit disputes, the parties will submit such matters to arbitration in accordance with procedures to be negotiated in good faith.” The July 2011 agreement states that “any disputes arising under this Settlement Agreement (including, without limitation disputes regarding its enforcement or interpretation) shall be subject to binding arbitration under the auspices of JAMS in Los Angeles, California.” In April 2016, Top Kick initiated a third audit, which led to the current litigation.

Top Kick filed its first amended complaint for breach of contract, breach of implied covenant of good faith and fair dealing, and accounting against CBS and Sony Pictures Television, Inc on April 8. The complaint alleges, in relevant part, that CBS breached the parties’ 23 percent profit agreement by failing to report and pay collected monies to Top Kick. The parties extended litigation deadlines to accommodate two rounds of mediation. Both were unsuccessful.

On June 20, after the mediation proceedings, Top Kick filed a motion to disqualify attorney John M. Gatti and the law firm Manatt, Phelps & Phillips LLP from representing CBS. Top Kick argued that, while working at his prior law firm, Gatti represented Top Kick in a dispute with CBS related to Walker and was privy to confidential information.

On August 8, with the disqualification motion pending, and while the parties continued settlement discussions, CBS filed a petition to compel arbitration under Code of Civil Procedure section 1281.2. On August 10, CBS filed an ex parte motion to stay all proceedings pending a ruling on the petition to compel arbitration. On the same day, Top Kick filed a competing ex parte application asking the trial court to hear its disqualification motion before the petition to compel.

The trial court granted Top Kick’s request to hear the disqualification motion first and denied CBS’s request for a stay under section 1281.4. CBS brought this petition for a writ of mandate challenging the ruling. We granted a temporary stay and issued an order to show cause to determine whether the trial court abused its discretion in denying the motion for a stay filed under section 1281.4.

DISCUSSION

A. The Standard of Review
B.
Reviewing courts apply the abuse of discretion standard in determining whether the court erred in denying a motion to stay. (Cardiff Equities, Inc. v. Superior Court (2008) 166 Cal.App.4th 1541, 1548, citing Henry v. Alcove Investment, Inc. (1991) 233 Cal.App.3d 94, 101 [controversy ordered to arbitration pursuant to section 1281.2 and stay imposed].) Where the trial court exercises discretion the law does not provide, it abuses its discretion. (Platypus Wear, Inc. v. Goldberg (2008) 166 Cal.App.4th 772, 782). “The scope of discretion always resides in the particular law being applied, i.e., in the ‘legal principles governing the subject of [the] action. …’ Action that transgresses the confines of the applicable principles of law is outside the scope of discretion and we call such action an ‘abuse’ of discretion.” [Citations.]’” (MacQuiddy v. Mercedes-Benz USA, LLC (2015) 233 Cal.App.4th 1036, 1048, citing Graciano v. Robinson Ford Sales, Inc. (2006) 144 Cal.App.4th 140, 148–149.)

C. The 1281.4 Stay is Mandatory
D.
The “rules of statutory construction require us to ascertain the intent of the enacting legislative body so that we may adopt the construction that best effectuates the purpose of the law. [Citation.] We first examine the words themselves because the statutory language is generally the most reliable indicator of legislative intent. [Citation.] The words of the statute should be given their ordinary and usual meaning and should be construed in their statutory context.” (Hassan v. Mercy American River Hospital (2003) 31 Cal.4th 709, 715.)

Section 1281.4 states, in pertinent part, that: “If an application has been made to a court of competent jurisdiction, whether in this State or not, for an order to arbitrate a controversy which is an issue involved in an action or proceeding pending before a court of this State and such application is undetermined, the court in which such action or proceeding is pending shall, upon motion of a party to such action or proceeding, stay the action or proceeding until the application for an order to arbitrate is determined and, if arbitration of such controversy is ordered, until an arbitration is had in accordance with the order to arbitrate or until such earlier time as the court specifies.” (Code Civ. Pro. § 1281.4.)

The use of the word shall in the statute imposes a mandatory duty. “It requires that the trial court stay an action pending before it while an application to arbitrate the subject matter of the action is pending in a court of competent jurisdiction.” (Twentieth Century Fox Film Corp. v. Superior Court (2000) 79 Cal.App.4th 188, 192 [holding that the trial court acted in excess of its authority by denying the motion for a stay pending a petition to compel arbitration.]) (See Common Cause v. Board of Supervisors (1989) 49 Cal.3d 432, 443 [the word “shall” is ordinarily construed as mandatory, while “may” is ordinarily construed as permissive].)

‘“The purpose of the statutory stay is to protect the jurisdiction of the arbitrator by preserving the status quo until arbitration is resolved.” [Citation.] ‘In the absence of a stay, the continuation of the proceedings in the trial court disrupts the arbitration proceedings and can render them ineffective.’ [Citation.]’” (Heritage Provider Network, Inc. v. Superior Court (2008) 158 Cal.App.4th 1146, 1152.)

Section 1281.4 requires the trial court to impose a stay when litigants meet two requirements. First, the party seeking to enforce a contractual arbitration clause must file a section 1281.2 petition to compel arbitration. (Brock v. Kaiser Foundation Hospitals (1992) 10 Cal.App.4th 1790, 1795–1796.) Second, the party seeking resolution via contractual arbitration must file a motion to stay. (§§ 1281.4, 1292.8, Brock v. Kaiser, supra, at pp. 1795–1796.) CBS met both requirements.

E. Top Kick Failed to Demonstrate a Stay was Improper
F.
Top Kick, in arguing that the trial court correctly decided that the motion to disqualify CBS’s counsel must be heard before CBS’s petition to compel arbitration, fails to address either the mandatory language of section 1281.4, or the purpose of the statutory stay.

To begin with, Top Kick contends that the disqualification motion must be heard first because it was filed first. This argument is made without citation to legal authority and must be rejected as meritless. (People v. Stanley (1995) 10 Cal.4th 764, 793 [‘“Every brief should contain a legal argument with citation to authorities on the points made. If none is furnished on a particular point, the court may treat it as waived, and pass it without consideration.”’])

Top Kick next maintains that CBS stipulated to have the disqualification motion heard on a certain date and did not inform Top Kick that it intended to file a petition to compel arbitration before that date. Neither the chronological order of the motions, nor complaints of nondisclosure in the parties’ stipulations, presents an exception to the statutory mandate.

Top Kick also argues that CBS filed “a belated arbitration motion to prevent the court from disqualifying the lawyer that filed it.” A stay, however, does not prevent the determination of the disqualification motion. A motion to disqualify counsel can be decided by an arbitrator and a stay presents no bar to its determination. (See Benasra v. Mitchell Silberberg & Knupp (2002) 96 Cal.App.4th 96 [arbitration panel decided disqualification motion], Guseinov v. Burns (2006) 145 Cal.App.4th 944, 949 [arbitrator denied defendant’s motion to disqualify plaintiff’s counsel].) Indeed, CBS and Top Kick contractually agreed in the 1999 agreement “that . . . the parties will submit such matters to arbitration in accordance with procedures to be negotiated in good faith.” They also agreed in the July 2011 agreement that “any disputes arising under this Settlement Agreement (including, without limitation disputes regarding its enforcement or interpretation) shall be subject to binding arbitration under the auspices of JAMS in Los Angeles, California.” As a result, the trial court’s role pending the motion to compel arbitration and motion to stay is ordinarily limited to a determination whether the dispute between the parties is subject to arbitration. (See University of San Francisco Faculty Assn. v. University of San Francisco (1983) 142 Cal.App.3d 942, 947.) “Arbitration is, of course, a matter of contract, and the parties may freely delineate the area of its application. The court’s role . . . must be strictly limited to a determination of whether the party resisting arbitration agreed to arbitrate.” (O’Malley v. Wilshire Oil Co. (1963) 59 Cal.2d 482, 490-491.)

The federal cases cited by Top Kick for the proposition that disqualification is not a matter for the arbitrators to determine, Simply Fit of North America, Inc. v. Poyner (E.D.N.Y. 2008) 579 F.Supp.2d 371 and Arbitration Between R3 Aerospace & Marshall (S.D.N.Y. 1996) 927 F.Supp. 121, apply New York state law and federal law in the Second Circuit, both of which are contrary to California law. Top Kick ignores the California cases where disqualification motions have been decided by arbitrators and the recognition in Benasra that the arbitrator may be in the best position to make the disqualification determination. (Benasra, supra, 96 Cal.App.4th 96, 115.)

Top Kick further argues that public policy requires that the disqualification motion be decided first. Top Kick invokes an attorney’s duty of loyalty to clients and former clients, as well as an attorney’s duty to protect the confidentiality of client information. While there may be a case in which the disqualification motion relates to the determination of arbitrability so that the potentially disqualified lawyer should not be permitted to argue the motion to compel, section 1281.4 could potentially be read to permit the stay subject to hearing the disqualification motion. We need not decide that issue in this case, as Top Kick conceded that the disqualification motion has nothing to do with arbitrability.

Top Kick relies on Schimmel v. Levin (2011) 195 Cal.App.4th 81 (Schimmel) to argue that the stay was improper. The Schimmel court affirmed the trial court’s decision to strike the defendant’s petition to compel arbitration after finding that the lawyer who prepared it possessed confidential material information belonging to the plaintiff. Rejecting defendant’s argument that the petition to compel arbitration should have been heard first, it relied upon the court’s “inherent power in furtherance of justice, to regulate the proceedings of a trial before it. . . .” (Ibid. at p. 87, citing People v. Miller (1960) 185 Cal.App.2d 59, 77.)

In Schimmel, however, the party seeking to enforce the arbitration agreement did not move for a mandatory stay under section 1281.4, and therefore the issue presented here was not before the Schimmel court. Rather, the trial court in that case was at liberty to decide the disqualification motion first, while the trial court here is bound by section 1281.4.

Schimmel thus does not stand for the proposition that public policy always requires the trial court to hear a disqualification motion before a petition to compel arbitration when a party moves for a stay under section 1281.4. Here, the trial court erred in failing to recognize that a stay is required under California law. Under the plain language of the statute, the section 1281.4 stay was mandatory.

DISPOSITION

Let a peremptory writ of mandate issue directing the trial court to vacate its order of August 10, 2018, denying petitioner’s application to stay litigation pursuant to section 1281.4 pending the court’s ruling on petitioner’s petition to compel arbitration, and to enter a new order granting petitioner’s application for a stay pursuant to section 1281.4. The trial court is ordered to hear and decide CBS’s petition to compel arbitration.

ZELON, Acting P. J.

We concur:

SEGAL, J.

FEUER, J.

BERNARD I. SEGAL v. CITY OF SAN DIEGO

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Filed 2/22/19 Segal v. City of San Diego CA4/1

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

COURT OF APPEAL, FOURTH APPELLATE DISTRICT

DIVISION ONE

STATE OF CALIFORNIA

BERNARD I. SEGAL,

Plaintiff and Appellant,

v.

CITY OF SAN DIEGO,

Defendant and Respondent,

PLAYA GRANDE, LLC,

Real Party in Interest and

Respondent.

D072215

(Super. Ct. No. 37-2015-00037498-

CU-TT-CTL)

APPEAL from a judgment of the Superior Court of San Diego County, Joel R. Wohlfeil, Judge. Affirmed.

Dentons US and Charles A. Bird for Plaintiff and Appellant.

Mara Elliot, City Attorney, Glenn T. Spitzer and Heidi Vonblum, Deputy City Attorneys, for Defendant and Respondent.

Varco & Rosenbaum Environmental Law Group, Suzanne R. Varco and Jana Mickova Will for Real Party in Interest and Respondent.

Bernard I. Segal appeals a judgment denying his Code of Civil Procedure section 1094.5 petition for writ of mandate that challenged a decision by the City of San Diego (City) approving construction of a building proposed by real party in interest Playa Grande, LLC, in the community of La Jolla Shores and certifying the final environmental impact report (FEIR) for that project. On appeal, Segal contends that the City: (1) violated section 113.0273 of the San Diego Municipal Code (Municipal Code) by approving the project without requiring visibility triangles; (2) City violated the requirement of the California Environmental Quality Act (CEQA) (Pub. Resources Code, § 21000 et seq.) for meaningful public participation because Municipal Code section 1510.0301, subdivision (b) does not provide any floor area ratio maximum for development within the La Jolla Shores Planned District; and (3) City violated CEQA because its FEIR did not adequately address the cumulative impacts of the project. Based on our reasoning post, we conclude the trial court correctly denied the petition for writ of mandate.

FACTUAL AND PROCEDURAL BACKGROUND

In 2009 Playa Grande applied for a site development permit, coastal development permit, and tentative map waiver to demolish an existing 1,519-square-foot single-story residential building and an existing 1,538-square-foot single-story commercial building and construct a new three-story mixed-use building (Project) in the community of La Jolla Shores. The Project’s site encompasses two lots totaling 3,952 square feet and is surrounded by mixed-use, commercial, office, and multi-family residential development. The Project will include 1,867 square feet of ground floor retail space, a 3,179-square-foot second floor condominium, a 2,780-square-foot third floor condominium, and 3,257 square feet of underground parking. The Project will be set back 10 feet from its eastern neighbor, a three-story mixed-use building. The Project will include a 15-foot by 15-foot entry plaza/visibility triangle at its southwest corner located at the intersection of Avenida de la Playa and El Paseo Grande and a visibility triangle at its northwest corner located at the intersection of El Paseo Grande and Calle Clara. An open carport accessed from Calle Clara will be located at the Project’s northwest corner and underground parking for the condominiums will be accessed from Calle Clara through mechanical garage doors and two car elevators.

In 2009 City prepared an initial study under CEQA for the Project. In 2010 a mitigated negative declaration (MND) was completed and circulated for public comment. A City hearing officer adopted the MND and approved the Project’s entitlements. City’s planning commission (Planning Commission) denied an appeal, adopted the MND, and approved the Project’s entitlements. After the San Diego City Council (City Council) granted an appeal from that decision, the Planning Commission again adopted the MND and approved the Project’s entitlements. The City Council granted a second appeal, finding there was substantial evidence that the Project might have significant environmental impacts. Thereafter, Playa Grande revised the Project by reducing its total square footage, adding car elevators, increasing setbacks, and modifying its design.

In June 2011 City issued a notice of preparation and received public comments. In 2013 City prepared a draft environmental impact report and circulated it for public comment. City responded to the public comments in the FEIR, which it circulated in 2015. As a result of public comments, the Planning Commission required further modifications to the Project, including a 15-foot setback on its eastern side. In April 2015 the Planning Commission certified the FEIR and approved the Project’s entitlements. In October 2015 the City Council denied an appeal and approved certification of the FEIR.

In November 2015 Segal filed the instant petition for writ of mandate and complaint for declaratory and injunctive relief, alleging City failed to proceed in the manner required by law by violating CEQA and/or the Municipal Code. Segal sought writs of mandate ordering City to set aside its certification of the Project’s FEIR and its approval of the Project. City and Playa Grande filed a joint opposition to the petition. Following oral argument, the trial court ruled in City’s favor, finding: (1) City properly concluded the Municipal Code does not require visibility triangles for the Project; (2) the FEIR adequately addressed the Project’s cumulative impacts; and (3) Segal was not a property owner who could allege that City engaged in unlawful spot zoning. On February 21, 2017, the court entered judgment for City on the petition. Subsequently, the court denied Segal’s motion to vacate the judgment and, in the alternative, for a new trial.

In December 2017 Segal filed a motion for judicial notice, requesting that we take judicial notice of five exhibits attached thereto. City and Playa Grande opposed that motion. On December 20 we issued an order stating that we would consider the motion for judicial notice concurrently with this appeal. Because those exhibits should have been, but were not, presented to the trial court and did not exist at the time of City’s October 2015 decision, we now decline to exercise our discretion to take judicial notice of those exhibits and deny Segal’s motion for judicial notice of exhibits 1, 2, 3, 4, and 5 attached thereto. (Evid. Code, §§ 452, subd. (h), 453, 459, subd. (a); Brosterhous v. State Bar (1995) 12 Cal.4th 315, 325-326; Vons Companies, Inc. v. Seabest Foods, Inc. (1996) 14 Cal.4th 434, 444, fn. 3; CREED-21 v. City of San Diego (2015) 234 Cal.App.4th 488, 520.)

DISCUSSION

I. THE MOTION TO DISMISS THE APPEAL IS DENIED

City and Playa Grande filed a joint motion to dismiss the appeal as being untimely. In particular, they argue Segal’s motion and amended motion to vacate the judgment and, in the alternative, for a new trial were procedurally deficient and therefore did not extend the time to appeal pursuant to California Rules of Court, rule 8.108(b) or (c). Opposing that motion, Segal requested that we take judicial notice of his motion and amended motion to vacate the judgment and, in the alternative, for a new trial.

A. Additional Procedural Background

On February 21, 2017, the trial court entered judgment for City. On February 22 City and Playa Grande jointly filed and served on Segal a notice of entry of judgment. On February 27 Segal filed a notice of motion to vacate the judgment and, in the alternative, for a new trial, including a memorandum of points and authorities and two supporting affidavits. On March 3 he filed a notice of amended motion to vacate the judgment and, in the alternative, for a new trial, but omitted the supporting affidavits. On March 6 he submitted the supporting affidavits for his amended motion.

On April 7, 2017, the trial court denied Segal’s amended motion on procedural and substantive grounds. In particular, the court concluded the notice of motion did not comply with sections 663a and 659 because it did not designate the grounds for the alternative motions. On May 3 Segal filed a notice of appeal.

B. The 60-Day Rule and 30-Day Extension

Rule 8.104(a)(1)(B) provides that a notice of appeal generally must be filed within 60 days after the appealing party is served with a document entitled “Notice of Entry” of judgment or a filed-endorsed copy of the judgment, accompanied by proof of service. However, that 60-day period to file a notice of appeal from a judgment may be extended in certain cases where postjudgment motions are denied. Rule 8.108(c) provides:

“If, within the time prescribed by rule 8.104 to appeal from the judgment, any party serves and files a valid notice of intention to move—or a valid motion—to vacate the judgment, the time to appeal from the judgment is extended for all parties until the earliest of:

“(1) 30 days after the superior court clerk or a party serves an order denying the motion or a notice of entry of that order;

“(2) 90 days after the first notice of intention to move—or motion—is filed; or

“(3) 180 days after entry of judgment.” (Italics added.)

Similarly, rule 8.108(b) provides:

“If any party serves and files a valid notice of intention to move for a new trial, the following extensions of time [to file an appeal] apply:

“(1) If the motion for a new trial is denied, the time to appeal from the judgment is extended for all parties until the earliest of:

“(A) 30 days after the superior court clerk or a party serves an order denying the motion or a notice of entry of that order;

“(B) 30 days after denial of the motion by operation of law; or

“(3) 180 days after entry of judgment.” (Italics added.)

Section 663a, subdivision (a), provides: “A party intending to make a motion to set aside and vacate a judgment, as described in Section 663, shall file with the clerk and serve upon the adverse party a notice of his or her intention, designating the grounds upon which the motion will be made, and specifying the particulars in which the legal basis for the decision is not consistent with or supported by the facts . . . .” (Italics added.) Similarly, section 659, subdivision (a), provides: “The party intending to move for a new trial shall file with the clerk and serve upon each adverse party a notice of his or her intention to move for a new trial, designating the grounds upon which the motion will be made and whether the same will be made upon affidavits or the minutes of the court, or both . . . .” (Italics added.)

C. Notice of Appeal

City and Playa Grande assert that the extended periods under rule 8.108(b) and (c) do not apply because Segal’s notice of intent to move to vacate the judgment and, in the alternative, for a new trial did not designate the grounds upon which those alternative motions would be made as required by sections 663a and 659 and, therefore, was not a “valid” notice within the meaning of either rule 8.108(b) or rule 8.108(c). Absent the application of a rule extending the time for appeal, City and Playa Grande argue that Segal was required to file his notice of appeal no later than 60 days after they served the notice of entry of judgment on him (i.e., on or before April 24, 2017). Because Segal did not file his notice of appeal until May 3, they argue his notice of appeal was untimely filed and we lack jurisdiction to consider it.

On the first substantive page of the notice of motion, Segal states that he “will move the court for an Order vacating the Judgment in the above entitled cause, or in the alternative, grant a new trial. Said Motion will be based upon this Notice, the Memorandum of Points and Authorities including Exhibits, attached hereto, the Declaration of [Segal] and Declaration of Phillip A. Merten, both of which are attached hereto, the briefs heretofore filed in this case, the transcript of the trial proceedings on January 5, 2017, and the pleadings and other papers on file in this case.” On subsequent pages, the text of Segal’s 13-page memorandum of points and authorities appears, followed by the two-page table of contents and one-page table of authorities for that memorandum (apparently filed out-of-sequence), as well as Segal’s one-page declaration and Merten’s four-page declaration. That memorandum of points and authorities cited and argued Segal’s specific grounds for a new trial (i.e., § 657(1), (3), (4), (6), & (7)). As relevant to the issue here, Segal’s amended notice was identical.

City and Playa Grande argue that Segal’s appeal should be dismissed because the one-page “notice” portion of his notice of motion and amended notice of motion did not expressly “designat[e] the grounds upon which [his motion to vacate judgment and alternative motion for new trial] will be made” and therefore were procedurally defective under sections 663a and 659 and not “valid” notices under rule 8.108(b) or (c) that could extend the usual 60-day appeal period after the notice of entry of judgment was served. They argue the notice of motion and amended notice of motion “failed to designate even a single ground upon which a motion for new trial or a motion to vacate a judgment could be made.” They also argue those notices did not specify how the legal basis for the decision was not consistent with or supported by the facts.

However, although the notice of motion and amended notice of motion did not comply with sections 663a and 659, case law has long held that a notice of motion’s technical noncompliance may be excused if it incorporates papers or other documents attached thereto that set forth the grounds for the motion. Importantly, in the context of motions for new trial, courts have held that the omission in a notice of motion of a particular ground will be disregarded if the supporting or accompanying papers set forth the grounds for the motion. (Collins v. Sutter Memorial Hospital (2011) 196 Cal.App.4th 1, 19-20 [although notice of motion specified wrong ground for new trial, plaintiff timely apprised defendant of correct ground for new trial in timely filed memorandum of points and authorities]; Girch v. Cal-Union Stores, Inc. (1968) 268 Cal.App.2d 541, 548-549 [same]; McFarland v. Kelly (1963) 220 Cal.App.2d 585, 589 [same]; Galindo v. Partenreederei M.S. Parma (1974) 43 Cal.App.3d 294, 301-302 [although notice of motion specified wrong grounds for new trial, plaintiff timely-filed declaration apprising defendant of correct ground for new trial].) In the context of a trial court’s authority to grant a motion for new trial, Witkin explains this case law, stating: “Generally, a motion for new trial can be granted only on a ground specified in the notice of intention to move. [Citation.] However, if the notice omits a ground, it may still be considered by the court if it is asserted in another document, such as the memorandum of points and authorities. [Citation.] For the court to grant the motion, the correct ground must be supplied before the filing period for the notice of intention to move has expired.” (8 Witkin, Cal. Procedure (5th ed. 2008) Attack on Judgment in Trial Court, § 50, pp. 636-637.)

Likewise, in the context of analogous statutes that require notices to state grounds for motions, courts have held that the omission in a notice of motion of a particular ground for the motion will be disregarded if the supporting or accompanying papers set forth the grounds for the motion. (Solv-All v. Superior Court (2005) 131 Cal.App.4th 1003, 1008, fn. 5 [§ 473; former rule 311(a)]; Luri v. Greenwald (2003) 107 Cal.App.4th 1119, 1125 [“An omission in the notice may be overlooked if the supporting papers make clear the grounds for the relief sought.”; § 1010]; Carrasco v. Craft (1985) 164 Cal.App.3d 796, 808 [§ 473]; Estate of Parks (1962) 206 Cal.App.2d 623, 630-632 [§ 473]; Tarman v. Sherwin (1961) 189 Cal.App.2d 49, 51-52 [motion for change in venue]; Bergloff v. Reynolds (1960) 181 Cal.App.2d 349, 357-358 [§ 473]; Ramey v. Myers (1958) 159 Cal.App.2d 82, 85-86 [§ 675]; Shields v. Shields (1942) 55 Cal.App.2d 579, 583-584 [§ 1010]; Savage v. Smith (1915) 170 Cal. 472, 474 [§ 1010].) In Savage v. Smith, supra, 170 Cal. 472, the Supreme Court stated:

“It is true that the notice of motion did not comply with the requirement of the rule, now embodied in section 1010 . . . , that the grounds of motion must be stated in the notice. . . . The notice, together with the records and affidavits therein referred to, were sufficient to apprise the plaintiff of the fact that the purpose of the proposed motion was to seek relief under section 473 . . . , and that the ground of the motion necessarily was the defendant’s excusable neglect, which would justify relief under that section. The objection that the grounds of the motion were not stated in the notice was therefore properly disregarded.” (Id. at p. 474, italics added.)

Tarman v. Sherwin, supra, 189 Cal.App.2d 49, summarized the reasoning underlying these cases, stating:

“[A] long line of authority has held that affidavits accompanying a notice of motion [citations], other documents in the court file [citation], or affidavits and points and authorities filed with the notice [citation], at least when specifically referred to in the notice, may be considered in amplification of the grounds stated in the notice. We incline to this rule . . . . On principle, we are satisfied that a notice should be deemed adequate to meet the code requirements if it fairly advises opposing counsel of the issues to be raised. Documents which are referred to in the notice and attached to it may be considered in determining adequacy of the notice of motion. It seems completely clear that the notice here, incorporating by reference the affidavits and memorandum attached to it, serves this purpose.” (Id. at pp. 51-52.)

The court stated: “There can be little doubt that the notice fully and fairly apprised plaintiff of movant’s intention to assert and rely upon the previous order.” (Tarman v. Sherwin, supra, 189 Cal.App.2d at p. 51.)

Accordingly, based on directly applicable case law interpreting section 659 notices of motions for new trial and indirectly applicable case law interpreting analogous statutes regarding notices of motions as cited and discussed ante, we conclude that if a notice of motion under section 663a or 659 refers to accompanying memorandum of points and authorities, affidavits, or other papers that set forth the specific grounds upon which the motion will be made, any omission from the notice of a statement expressly setting forth those specific grounds will be disregarded because the opposing party will be apprised of those grounds in the supporting papers referenced in the notice. (Collins v. Sutter Memorial Hospital, supra, 196 Cal.App.4th at pp. 19-20; Girch v. Cal-Union Stores, Inc., supra, 268 Cal.App.2d at pp. 548-549; McFarland v. Kelly, supra, 220 Cal.App.2d at p. 589; Galindo v. Partenreederei M.S. Parma, supra, 43 Cal.App.3d at pp. 301-302; Savage v. Smith, supra, 170 Cal. at p. 474; Shields v. Shields, supra, 55 Cal.App.2d at pp. 583-584; Tarman v. Sherwin, supra, 189 Cal.App.2d at pp. 51-52.) None of the cases cited by City and Playa Grande are apposite to this case or otherwise persuade us to reach a contrary conclusion. (See, e.g., Branner v. Regents of University of California (2009) 175 Cal.App.4th 1043.)

Applying the principles of the cases discussed ante to the notice of motion and amended notice of motion in this case, we conclude those notices adequately designated the grounds upon which the motion to vacate judgment and alternative motion for new trial would be made. Each of those notices expressly stated that the motion “will be based upon this Notice, the Memorandum of Points and Authorities including Exhibits, attached hereto, the Declaration of [Segal] and Declaration of [Merten], both of which are attached hereto, the briefs heretofore filed in this case, the transcript of the trial proceedings on January 5, 2017, and the pleadings and other papers on file in this case.” Our review of those referenced papers shows that they clearly set forth the grounds upon which the motions would be made. In particular, Segal’s memorandum of points and authorities in support of those motions cited section 657(1) [irregularity in the proceedings], 657(3) [accident or surprise], 657(4) [newly discovered evidence], 657(6) [insufficiency of evidence], and 657(7) [error of law], as grounds for his motions. Accordingly, the notice of motion and amended notice of motion adequately apprised City and Playa Grande of the grounds upon which Segal would make his motions. In fact, City and Playa Grande were aware of those specific grounds because in their opposition memorandum they argued those specific grounds were inapplicable. Because those notices complied with section 663a and 659’s requirements, they necessarily constituted “valid” notices of motion within the meaning of rules 8.108(b) and 8.108(c) that extended the usual 60-day appeal period after the notice of entry of judgment was served. Under rule 8.108(c)(2), the usual appeal period under rule 8.104 was extended until 90 days after Segal filed his first motion to vacate judgment. Because Segal filed that motion on February 27, 2017, he had until 90 days thereafter to file a notice of appeal (i.e., on or before May 29, 2017). Accordingly, the notice of appeal that he filed on May 3, 2017, was timely.

II. VISIBILITY TRIANGLES

Segal contends City did not proceed in the manner required by law because it approved the Project without requiring visibility triangles under section 113.0273 of the Municipal Code, which ordinance provides rules for measuring “visibility areas.” In particular, he argues that ordinance required visibility triangles at the intersections of Calle Clara and the Project’s driveways.

A. Background

In 2010 City staff requested that the hearing officer approve a variance from Municipal Code section 113.0273’s provisions for the Project’s driveways with Calle Clara. However, the hearing officer found no variance was necessary because that ordinance provided only rules for calculation and measurement of visibility triangles when a specific ordinance or regulation required visibility triangles, but there was no specific provision of the La Jolla Shores Planned District Ordinance (PDO) (Mun. Code, § 1510.0101 et seq.) or other Municipal Code provision requiring visibility triangles for the Project. The hearing officer reasoned that Municipal Code section 113.0273, which is part of chapter 11 of the Municipal Code, “exists to give guides to those people who are designing projects and enforce regulations. [¶] It’s there to tell you how to implement a requirement. It tells you how to measure things. It’s not a portion of the [Municipal Code] that tells you to do something. So unless you can point to a place in the [PDO] that says that visibility triangles are required for this site, I don’t see where one is required.” He stated: “All I see is that the measurement and visibility area section for rules and calculations tells you how to do it. [¶] I don’t see anything that triggers it and makes it a requirement that needs to be done.” Accordingly, the hearing officer denied City’s request for a variance because a variance from Municipal Code section 113.0273 was not required for the Project.

Thereafter, the Planning Commission approved the Project’s entitlements and subsequently reaffirmed those approvals after the City Council granted appeals under CEQA and returned review of the Project back to it. At each hearing, the Planning Commission heard and considered arguments by Segal and others that Municipal Code section 113.0273 and the PDO required visibility triangles for the Project. In particular, at its 2010 hearing, when a planning commissioner asked a City staff member if any properties on Calle Clara were required to have visibility triangles, the staff member replied that none of the properties on the south side of Calle Clara had visibility triangles. It was also noted that the south side of Calle Clara, which was originally dedicated as a public right of way in 1926, had a zero lot line for adjacent properties, low or no curbs, and no sidewalks. In its penultimate April 16, 2015 resolution approving the Project’s entitlements, the Planning Commission found the Project complied with all applicable regulations of City’s Land Development Code (i.e., chapters 11, 12, 13, & 14 of the Municipal Code [per Mun. Code, § 111.0101, subd. (a)]) and did not propose any deviations therefrom. After the City Council denied the subsequent appeal, Segal filed the instant writ petition, again asserting that Municipal Code section 113.0273 requires the Project to include visibility triangles and, in particular, at the intersections of Calle Clara and the Project’s driveways. In its order denying the petition, the trial court concluded that City properly concluded section 113.0273 of the Municipal Code did not require visibility triangles for the Project. The court stated:

“Section 113.0273 [of the Municipal Code] acts to clarify and define the manner in which development regulations are applied. City staff reasonably interpreted the various Municipal Code sections [e.g., Municipal Code sections 113.0201, 113.0202, 113.0273] such that they properly determined that a variance was not required for the Project. The [PDO] does not require visibility triangles. The determination that Calle Clara does not meet the minimum requirements for classification as a street, and instead functions as an alley, is supported by substantial evidence. This determination relies on a correct interpretation of the subject Municipal Code sections. As a result, the visibility triangle guidelines set forth within [Municipal Code] section 113.0273[, subdivision] (c) do not apply.”

Accordingly, the court denied the petition.

B. Interpretation of Statutes

“Ultimately, the interpretation of a statute is a legal question for the court to decide, and an administrative agency’s interpretation is not binding.” (Sara M. v. Superior Court (2005) 36 Cal.4th 998, 1011.) Nevertheless, a past or contemporaneous construction of a statute by an administrative agency is entitled to great weight unless that construction is clearly erroneous or unauthorized. (Id. at p. 1012; Adams v. Commission on Judicial Performance (1994) 8 Cal.4th 630, 657-658; Zenker-Felt Imports v. Malloy (1981) 115 Cal.App.3d 713, 720.) Likewise, the interpretation of an ordinance or other legislation by its enacting body “is of very persuasive significance.” (City of Walnut Creek v. County of Contra Costa (1980) 101 Cal.App.3d 1012, 1021.)

“Courts must . . . independently judge the text of the statute, taking into account and respecting the agency’s interpretation of its meaning, of course, whether embodied in a formal rule or less formal representation. Where the meaning and legal effect of a statute is the issue, an agency’s interpretation is one among several tools available to the court.” (Yamaha Corp. of America v. State Bd. of Equalization (1998) 19 Cal.4th 1, 7.) “Whether judicial deference to an agency’s interpretation is appropriate and, if so, its extent—the ‘weight’ it should be given—is fundamentally situational.” (Id. at p. 12.) In those situations in which an ” ‘agency has expertise and technical knowledge, especially where the legal text to be interpreted is technical, obscure, complex, open-ended, or entwined with issues of fact, policy, and discretion,’ ” courts are ” ‘more likely to defer to an agency’s interpretation of its own regulation than to [their] interpretation of a statute, since the agency is likely to be intimately familiar with regulations it authored and sensitive to the practical implications of one interpretation over another.’ ” (Ibid.) Greater deference is also given to interpretations by agencies where there are indications that senior agency officials have carefully considered those interpretations. (Id. at p. 13.)

C. Municipal Code Section 113.0273

Segal argues that Municipal Code section 113.0273 operates independently as a regulation requiring visibility triangles where Calle Clara intersects the Project’s driveways. We disagree.

Article 3 of chapter 11 of the Municipal Code provides definitions for land development terms and rules for calculation and measurement when applicable land development regulations include certain terms or concepts. (Mun. Code, §§ 113.0101, 113.0201, 113.0202.) Municipal Code section 113.0201 provides:

“The purpose of this division [i.e., Municipal Code, chapter 11, article 3, division 2] is to clarify and define the manner in which specific land development terms and development regulations are applied. The intent is to provide the rules for calculating, determining, establishing, and measuring those aspects of the natural and built environment that are regulated by the Land Development Code [i.e., Municipal Code, chapters 11, 12, 13, & 14].” (Italics added.)

Importantly, Municipal Code section 113.0202 provides:

“This division [i.e., Municipal Code, chapter 11, article 3, division 2] applies to development when the applicable regulations include terms or concepts that are shown in Table 113-02A. The Rules for Calculation and Measurement [i.e., Municipal Code, chapter 11, article 3, division 2] clarify development regulations and land development terms by expanding on the regulations and providing detailed explanations of pertinent aspects of the regulation. These rules govern the way in which the development regulations are implemented. The land development terms and the sections for the corresponding rules are provided in Table 113-02A. The Rules for Calculation and Measurement of one regulation or term may be used in conjunction with another.” (Italics added.)

The express language of Municipal Code sections 113.0201 and 113.0202 clearly shows that the provisions of division 2 of article 3 of chapter 11 of the Municipal Code (i.e., “Rules for Calculation and Measurement”) do not apply unless there is a specific development regulation that applies to a development project and includes terms or concepts set forth in Table 113-02A, which is part of Municipal Code section 113.0202. Alternatively stated, none of the provisions of division 2 of article 3 of chapter 11 of the Municipal Code apply independently to a development project in the absence of an underlying development regulation found elsewhere in the Land Development Code that applies to a particular development project. Absent a substantive development regulation found outside of division 2 of article 3 of chapter 11 of the Municipal Code that expressly applies to and requires visibility triangles for a specific project, Municipal Code section 113.0273 does not apply to that project.

Accordingly, contrary to Segal’s assertion, Municipal Code section 113.0273, which is included within division 2 of article 3 of chapter 11 of the Municipal Code, does not apply independently to require visibility triangles for the Project. Table 113-02A, which is part of Municipal Code section 113.0202, lists certain land development terms and concepts for which division 2 provides rules for their calculation and measurement and then identifies the respective division 2 ordinance that provides those rules. Table 113-02A includes the term “[v]isibility area” as one such term or concept and identifies Municipal Code section 113.0273 as the division 2 ordinance that provides rules for calculation and measurement of visibility areas.

Municipal Code section 113.0273, titled “Measuring Visibility Area,” provides:

“The visibility area is a triangular portion of a premises formed by drawing one line perpendicular to and one line parallel to the property line or public right-of-way for a specified length and one line diagonally joining the other two lines, as shown in Diagram 113-02SS. [¶] . . . No structures may be located within a visibility area unless otherwise provided by the applicable zone or the regulations in Chapter 14, Article 2 (General Development Regulations). [¶] . . .

” . . . For visibility areas at the intersection of a street and driveway, one side of the triangle extends from the intersection of the street and the driveway for 10 feet along the property line. The second side extends from the intersection of the street and driveway for 10 feet inward from the property line along the driveway edge and the third side of the triangle connects the two.”

Although Municipal Code section 113.0273 includes certain language that is regulatory (i.e., “No structures may be located within a visibility area . . . .”), that language must be construed in the context of Municipal Code sections 113.0201 and 113.0202, as discussed ante. Accordingly, contrary to Segal’s assertion, Municipal Code section 113.0273 does not apply independently to require visibility triangles for the Project. Rather, there must be an underlying development regulation outside of division 2 of article 3 of chapter 11 of the Municipal Code that applies to the Project and requires the Project to have visibility triangles. However, Segal has not cited, nor have we found, any such underlying development regulation.

In particular, the PDO does not contain any such requirement for development in the La Jolla Shores Planned District. Had City intended to require development within that district to have visibility areas or triangles, it presumably knew how to do so and would have included such requirement in the PDO. For example, the La Jolla Planned District Ordinance (not to be confused with the La Jolla Shores Planned District Ordinance) expressly requires visibility areas in zones 5 and 6 of that neighboring community. Therefore, by omitting such requirements from the PDO and other substantive provisions of the Municipal Code applicable to the La Jolla Shores Planned District, we, like the trial court, infer City intended that development in that district not be required to have visibility areas or triangles. Accordingly, without any such underlying development regulation applicable to the Project, Municipal Code section 113.0273 does not apply. Therefore, we conclude the trial court correctly found that a variance from the application of Municipal Code section 113.0273 was not required for the Project.

D. Calle Clara Is Not a “Street”

Assuming arguendo that Municipal Code section 113.0273 applies notwithstanding the absence of any underlying development regulation applicable to the Project, we nevertheless conclude that City properly found that ordinance did not apply to the intersections of Calle Clara and the Project’s driveways because Calle Clara is not a street and instead functions as an alley. We, like the trial court below, conclude there is substantial evidence to support that finding.

In response to public comments on the FEIR regarding the absence of visibility triangles, City stated:

“Calle Clara is 30 feet wide. Pursuant to the definition of an alley in [Municipal Code] Section 113.0103, an alley is a maximum of 25 feet wide. However, pursuant to the City’s Street Design Manual (page 11), an alley is 20 feet wide, but may be wider to accommodate utilities. Utilities are located in Calle Clara. Accordingly, the fact that Calle Clara is 30 feet wide is not the only factor to be used in determining whether it is an alley. The narrowest double-loaded street as defined in the City’s Street Design Manual is a minimum of 30 feet from curb-to-curb with a minimum 50-foot right of way plus sidewalks [citation]. Calle Clara does not have a 50-foot right of way nor does it have sidewalks or curbs on the south side where the [P]roject is located. Consequently, Calle Clara does not meet the minimum requirements for classification as a street.

“Calle Clara’s public right of way, on the north side and rear of the [P]roject site, was established along with the original block’s Subdivision Map No. 1913, La Jolla Shores Unit No. 1, June 1, 1926, with the dedication of 10 feet for an unnamed public right of way (approximately 1/2 width of an alley) between Paseo del Ocaso and El Paseo Grande. Typical of an alley, the [P]roject site’s entire block is currently developed as such with zero lot line development along the alley. Later, Subdivision Map No. 2061, La Jolla Shores Unit No. 3, Sept. 26, 1927, was recorded for the proposed subdivision on the north side of this unnamed alley. This subdivision map required the additional dedication of 20 feet of public right of way (approximately 1/2 width of a street) and identified the total 30 feet of public right of way as ‘Calle Clara.’ This subsequent subdivision’s development produced street side features such as curb and gutter along portions of the north side of Calle Clara. The combination of the two subdivision requirements has created a public right-of-way street with both street and alley features and does not meet the standards in the City’s Street Design Manual for a street. Technically, the northern ‘half’ of Calle Clara is 20 feet wide while the southern ‘half’ is only 10 feet wide. There are curbs along a small portion of the northern side of Calle Clara, but not on the south side. Development along the southern side observes a zero-foot setback as allowed in the [PDO]. Garage doors for all development on the south side of Calle Clara are located on the property line and none observe the visibility triangles pursuant to Municipal Code Section 113.0273. Calle Clara has therefore traditionally functioned as an alley, not a street.

“Considering the unique situation and the existing development all along the southern side of Calle Clara observing a zero-foot setback as allowed in the [PDO], the City Engineer has reviewed the [P]roject as proposed with zero-setback and consider[s] Calle Clara to be functioning as an alley rather than a street. According to [Municipal Code] Section 113.0273, ‘for visibility areas at the intersection of a street and alley, two sides of the triangle extend along the intersecting property lines for 10 feet and the third side is a diagonal line that connects the two.’ Therefore, [Municipal Code] Section 113.0273[, subdivision] (a) would not be applicable to the [P]roject.” (Italics added.)

As quoted ante, Municipal Code section 113.0273, subdivision (b)(3) provides that for required “visibility areas at the intersection of a street and driveway, one side of the triangle extends from the intersection of the street and the driveway for 10 feet along the property line.” Therefore, by its express terms, that provision for calculating and measuring visibility areas does not apply unless there is an intersection of a “street” with a driveway.

Under section 1094.5, we review the trial court’s decision denying Segal’s petition for writ of mandate, and thus City’s decision and its findings on disputed facts, for substantial evidence to support them. (JKH Enterprises, Inc. v. Department of Industrial Relations (2006) 142 Cal.App.4th 1046, 1057-1058; Fort Mojave Indian Tribe v. Department of Health Services (1995) 38 Cal.App.4th 1574, 1590; Vineyard Area Citizens for Responsible Growth, Inc. v. City of Rancho Cordova (2007) 40 Cal.4th 412, 427; Topanga Assn. for a Scenic Community v. County of Los Angeles (1974) 11 Cal.3d 506, 514-515 [“Section 1094.5 clearly contemplates that at minimum, the reviewing court must determine both whether substantial evidence supports the administrative agency’s findings and whether the findings support the agency’s decision.”].) Substantial evidence must be of ponderable legal significance and reasonable in nature, credible, and of solid value. (JKH Enterprises, Inc., at p. 1057.) In applying the substantial evidence standard of review, we resolve all conflicts in the evidence and draw all reasonable inferences in support of City’s decision and its factual findings. (Id. at p. 1058.) City’s determination whether a particular public right-of-way constitutes a “street” within the meaning of Municipal Code section 113.0273 involves a weighing of the unique circumstances of a specific right-of-way in light of City’s expertise and technical knowledge and therefore is primarily a factual, not legal, determination. Accordingly, the substantial evidence standard applies to our review of City’s determination that Calle Clara is not a “street” within the meaning of Municipal Code section 113.0273. Because neither those facts nor the reasonable inferences drawn therefrom are undisputed, City’s determination does not involve a pure question of law that would be subject to de novo review. (Cf. Shamblin v. Brattain (1988) 44 Cal.3d 474, 479; Milton v. Perceptual Development Corp. (1997) 53 Cal.App.4th 861, 867.)

Contrary to Segal’s assertion, there is substantial evidence to support City’s finding that Calle Clara is not a “street” within the meaning of Municipal Code section 113.0273. Segal notes that Municipal Code section 113.0103 defines an “[a]lley” as “a public way that is no wider than 25 feet that is dedicated as a secondary means of access to an abutting property.” Based on that definition, he argues that because Calle Clara is 30 feet wide and therefore exceeds the maximum width (i.e., 25 feet) set forth in the Municipal Code’s definition of an alley, Calle Clara must necessarily be considered a “street” within the meaning of Municipal Code section 113.0273. We disagree.

The proper analysis must begin with the Municipal Code’s definition of “street” and any Municipal Code or other City guidelines for street design. Municipal Code section 113.0103 defines a “[s]treet” as “that portion of the public right-of-way that is dedicated or condemned for use as a public road and includes highways, boulevards, avenues, places, drives, courts, lanes, or other thoroughfares dedicated to public travel, but does not include alleys.” Accordingly, contrary to Segal’s contention, a public right-of-way that is not an alley is not necessarily a “street.” Rather, only a public right-of-way that is dedicated or condemned for use as a public road (e.g., a thoroughfare dedicated to public travel) may be considered a “street” within the meaning of Municipal Code section 113.0103. Furthermore, in determining the meaning of a “street” under Municipal Code section 113.0273, City properly considered its Street Design Manual. City and Playa Grande represent, and Segal does not dispute, that the narrowest right-of-way for a street allowed by City’s Street Design Manual is 48 feet wide.

Given the above criteria for a “street,” City then applied those criteria to the unique circumstances of Calle Clara and determined it was not a “street” within the meaning of Municipal Code section 113.0273 and, instead, functioned as an “alley” even though it exceeded the 25-foot width limitation for an alley under Municipal Code section 113.0103. This finding is supported by substantial evidence. Calle Clara was only 30 feet wide, had a zero lot-line for properties on its south side, low or no curbs, and no sidewalks. On June 1, 1926, 10 feet of Calle Clara, comprising its southern “half,” was dedicated for a public right of way and its adjacent properties were developed with a zero lot line. As City noted, garage doors for all development on the south side of Calle Clara are located on the property line and none of the properties thereon have visibility triangles. Based on those circumstances, City concluded that Calle Clara has traditionally functioned as an alley, and not a street, and therefore found that Municipal Code section 133.0273’s provisions regarding visibility areas or triangles do not apply to the intersections between Calle Clara and the Project’s driveways.

Furthermore, we are unpersuaded by Segal’s alternative argument that regardless of whether Calle Clara is a street, City necessarily should have required visibility triangles for the Project’s driveways after weighing public safety considerations. The administrative record shows City implicitly, if not expressly, weighed public safety considerations by requiring, inter alia, cars to exit the Project’s garages or parking spaces facing forward into Calle Clara, traffic calming devices on Calle Clara, enhanced crosswalks, and a voluntary visibility triangle at Calle Clara’s intersection with El Paseo Grande. Based on our review of the record, we cannot conclude City necessarily should have also required visibility triangles where the Project’s garages or parking spaces intersected with Calle Clara.

III. MEANINGFUL PUBLIC PARTICIPATION

Segal contends that City violated CEQA’s requirement for meaningful public participation because Municipal Code section 1510.0301, subdivision (b) does not provide any floor area ratio (FAR) maximum for development within the La Jolla Shores Planned District.

A. Background

In the second cause of action of his petition, Segal alleged that if the Municipal Code were interpreted to allow construction of the Project, it would constitute unlawful spot zoning because the La Jolla Shores neighborhood would be the only beach community in City where FAR maximums would not apply. In his third cause of action for declaratory relief, he alleged that the Project’s “FAR ratio of 2.37 vastly exceeds the City-wide FAR maximum of 1.75 for mixed-use buildings in Neighborhood Commercial zones. The City contends that the City-wide FAR maximums do not apply in La Jolla Shores. [¶] . . . [Segal] contends that the City-wide FAR maximums apply to La Jolla Shores.” In particular, that cause of action alleged:

“54. [Municipal Code] Section 1510.0301[, subdivision] (b) states: ‘No structure shall be approved which is substantially like any other structure located on an adjacent parcel. Conversely, no structure will be approved that is so different in quality, form, materials, color, and relationship as to disrupt the architectural unity of the area.’ [Segal] contends that the Project would violate the aforementioned Section in that it would be so different in quality, form, materials, color, and relationship to the adjacent parcel so as to disrupt the architectural unity of the area. In addition, [Segal] contends that with an FAR of 2.37, the massiveness of the Project would be vastly different in form from the adjacent parcel, which has an FAR of 1.7.

“55. [Segal] contends that there is no rational basis to have a 1.7 FAR in the La Jolla PDO for a mixed-use building, and have no FAR maximum provision at all in the La Jolla Shores PDO for a mixed-use building. Therefore, [Segal] contends that either the City-wide FAR maximum of 1.75 applies to the Project[], or the La Jolla Shores PDO provisions allowing a commercial building at the site of the Project to occupy 100 percent of the lot is unconstitutional, as being capricious and irrational spot zoning. . . . City contends that there is a rational basis for having an FAR maximum in La Jolla, and none in La Jolla Shores.”

The petition did not allege any violation of CEQA based on a lack of meaningful public participation relating to Municipal Code section 1510.0301 or the lack of a FAR maximum in the Municipal Code or PDO for the La Jolla Shores Planned District.

In denying Segal’s petition, the trial court rejected Segal’s claim of unlawful spot zoning. Citing Viso v. State of California (1979) 92 Cal.App.3d 15, 22, the trial court concluded that Segal could not state a claim for unlawful spot zoning because he did not own a property that was given lesser rights than surrounding property and, in any event, there was no evidence showing approval of the Project occurred because of favorable zoning applicable only to the Project.

The trial court also addressed issues of the Project’s design, including its scale and bulk. Citing Municipal Code section 1510.0301, subdivision (b), the court stated that the evidence “demonstrates a variety of commercial and residential structures within a few city blocks, including multi-unit residential dwellings, small commercial spaces and a 38,000-square foot, four story office building. Existing development in the area is an eclectic mix of sizes, scales, and styles. The Court has reviewed this record and finds that the [Project] is consistent with the surrounding community development and the PDO development requirements. . . . Thus, substantial evidence exists within the record demonstrating that the [Project] complies with the PDO and the La Jolla Community Plan. The [P]roject is consistent with all of the policies of the PDO and the La Jolla Community Plan.”

B. Public Participation Generally

“[P]ublic participation is an ‘essential part of the CEQA process.’ ” (Laurel Heights Improvement Assn. v. Regents of University of California (1993) 6 Cal.4th 1112, 1123 (Laurel Heights).) The purpose of an environmental impact report (EIR) “is to inform the public and its responsible officials of the environmental consequences of their decisions before they are made.” (Ibid., italics omitted.) California Code of Regulations, title 14, section 15201, sets forth requirements for public participation, stating: “Public participation is an essential part of the CEQA process. Each public agency should include provisions in its CEQA procedures for wide public involvement, formal and informal, consistent with its existing activities and procedures, in order to receive and evaluate public reactions to environmental issues related to the agency’s activities.” (Cal. Code Regs., tit. 14, § 15201.) An EIR’s failure to disclose significant environmental impacts or other relevant environmental information regarding a project has been held to deprive the public of meaningful participation under CEQA. (See, e.g., Center for Biological Diversity v. County of San Bernardino (2010) 185 Cal.App.4th 866, 884-885; Save Round Valley Alliance v. County of Inyo (2007) 157 Cal.App.4th 1437, 1458, 1460; Preservation Action Council v. City of San Jose (2006) 141 Cal.App.4th 1336, 1354-1357.)

C. Waiver of New Theory on Appeal

In his opening brief, Segal asserts: “The lack of any maximum [floor area] ratio [FAR] coupled with the unenforceable standard of [Municipal Code] section 1510.0301[, subdivision] (b) violated CEQA as the City processed the Project because Segal and the public were denied meaningful participation.” However, City and Playa Grande argue that Segal did not raise that contention in the trial court and should therefore be precluded from raising it on appeal. We agree.

“[I]ssues not raised in the trial court cannot be raised for the first time on appeal.” (Estate of Westerman (1968) 68 Cal.2d 267, 279.) In general, we cannot consider matters not raised in the trial court. (Nellie Gail Ranch Owners Assn. v. McMullin (2016) 4 Cal.App.5th 982, 997; People v. Gams (1997) 52 Cal.App.4th 147, 155; Brown v. Boren (1999) 74 Cal.App.4th 1303, 1316 [“a litigant may not change his or her position on appeal and assert a new theory”].) An exception to that general rule applies “when the issue presented involves purely a legal question, on an uncontroverted record and requires no factual determinations.” (Mattco Forge, Inc. v. Arthur Young & Co. (1997) 52 Cal.App.4th 820, 847.) In such an exceptional case, we have discretion to consider the new theory on appeal. (Farrar v. Direct Commerce, Inc. (2017) 9 Cal.App.5th 1257, 1275, fn. 3 [“Whether an appellate court will entertain a belatedly raised legal issue always rests within the court’s discretion.”]; Greenwich S.F., LLC v. Wong (2010) 190 Cal.App.4th 739, 767 [discretion not exercised]; Francies v. Kapla (2005) 127 Cal.App.4th 1381, 1386 [discretion exercised].)

As discussed ante, Segal’s petition alleged: (1) City’s approval of the Project resulted in unlawful spot zoning; (2) its purported City-wide FAR maximum should apply to the La Jolla Shores Planned District, including the Project; and (3) the Project would violate Municipal Code section 1510.0301, subdivision (b) in that the Project would be so different in quality, form, materials, color, and relationship to its adjacent parcel as to disrupt the architectural unity of the area. The petition did not allege the public was denied meaningful participation in violation of CEQA based on the lack of any maximum FAR for the La Jolla Shores Planned District (which includes the Project) and/or a purported unenforceable standard under Municipal Code section 1510.0301, subdivision (b). Therefore, Segal’s new theory asserting denial of meaningful public participation cannot be raised for the first time in this appeal. (Estate of Westerman, supra, 68 Cal.2d at p. 279; Nellie Gail Ranch Owners Assn. v. McMullin, supra, 4 Cal.App.5th at p. 997; People v. Gams, supra, 52 Cal.App.4th at p. 155; Brown v. Boren, supra, 74 Cal.App.4th at p. 1316.)

Contrary to Segal’s assertion, his new theory does not involve purely a legal question on an uncontroverted record that requires no factual determinations. (Cf. Mattco Forge, Inc. v. Arthur Young & Co., supra, 52 Cal.App.4th at p. 847.) As City and Playa Grande argue, Segal’s new theory involves a mixed question of law and fact that requires factual determinations and therefore is not appropriate for an appellate court to decide for the first time on appeal. Contrary to Segal’s assertion, his new theory does not simply provide additional support for an issue that he raised below or an issue that he has not waived. (Cf. Giraldo v. Department of Corrections & Rehabilitation (2008) 168 Cal.App.4th 231, 251 [“We are aware of no prohibition against citation of new authority in support of an issue that was in fact raised below.”]; Schmidt v. Bank of America, N.A. (2014) 223 Cal.App.4th 1489, 1505, fn. 11 [“Where an appellant has not waived his right to argue an issue on appeal, he is free to cite new authority in support of that issue.”].) Accordingly, we need not, and do not, decide the merits of that new theory.

D. Meaningful Public Participation

Assuming arguendo that Segal can raise his new theory on appeal, we nevertheless conclude that Segal and the public were not denied meaningful public participation as he asserts. Municipal Code section 1510.0301, subdivision (b), which is part of the PDO for the La Jolla Shores Planned District, is entitled “Design Principle” and provides:

“Within the limitations implied above, originality and diversity in architecture are encouraged. The theme ‘unity with variety’ shall be a guiding principle. Unity without variety means simple monotony; variety by itself is chaos. No structure shall be approved which is substantially like any other structure located on an adjacent parcel. Conversely, no structure will be approved that is so different in quality, form, material, color, and relationship as to disrupt the architectural unity of the area.”

Segal argues that City violated CEQA because in certifying the FEIR the public was denied meaningful participation by Municipal Code section 1510.0301, subdivision (b)’s lack of a maximum FAR and its subjective and unenforceable standards that do not address the scale and bulk of development projects. He posits that his argument “is probably a case of first impression in which the law, rather than the project, is unstable, misleading, and impossible for the public to apply.” He argues that by its subjective language, Municipal Code section 1510.0301, subdivision (b) does not objectively quantify the scale and bulk of projects within the La Jolla Shores Planned District as the Municipal Code does for other communities by setting forth maximum FAR’s for projects, and therefore the public could not meaningfully participate on the issue of the scale and bulk of the Project.

City and Playa Grande respond by first noting that Segal failed to cite any legal authority to support his novel proposition that subjectivity in City’s regulations for the scale and bulk of projects in the La Jolla Shores Planned District effectively denied the public meaningful participation in the CEQA process. They argue that there was, in fact, meaningful public participation on the scale and bulk of the Project, noting that members of the public commented on the Project’s scale and bulk, community character, FAR, and related issues at least 93 times during the five-year CEQA review process and that its scale and bulk was heavily scrutinized. They also note the FEIR discussed the scale and bulk of the La Jolla Shores neighborhood, as well as that of the Project. Although the PDO does not contain any FAR maximum, they argue the Project is not an outlier when considering the FAR’s of nearby buildings. While the Project’s FAR is 2.16, buildings within the La Jolla Shores area have FAR’s ranging from 0.6 to 3.6. While the Project will be three stories high, buildings in the immediate vicinity of the Project are generally between two and four stories high. The Project complies with Municipal Code section 1510.0310, subdivision (b)’s building height limit of 30 feet. Therefore, City and Playa Grande argue that, contrary to Segal’s assertion, the administrative record shows there was meaningful public participation regarding the scale and bulk of the Project as required by CEQA despite Municipal Code section 1510.0301, subdivision (b)’s lack of a maximum FAR and its subjective design standards.

We agree with City and Playa Grande’s arguments and reject Segal’s argument that City violated CEQA by denying the public meaningful participation regarding the Project’s scale and bulk. In particular, we decline to create a new and expansive interpretation of CEQA’s provisions by, in effect, concluding that municipalities like City must adopt objective development regulations, including maximum FAR’s for projects, in order to comply with CEQA’s requirement for meaningful public participation.

IV. CUMULATIVE IMPACTS

Segal contends that City violated CEQA because the FEIR did not adequately address the cumulative impacts of the Project. In particular, he argues the Project would set a precedent for development in the La Jolla Shores neighborhood and City should have considered the cumulative impact of future development projects that likely would be triggered by the Project.

A. EIR and Impacts of the Project

“[A]n EIR must include an analysis of the environmental effects of future expansion or other action if: (1) it is a reasonably foreseeable consequence of the initial project; and (2) the future expansion or action will be significant in that it will likely change the scope or nature of the initial project or its environmental effects.” (Laurel Heights, supra, 47 Cal.3d at p. 396.) A project will have a significant effect on the environment if “the incremental effects of an individual project are significant when viewed in connection with the effects of past projects, the effects of other current projects, and the effects of probable future projects.” (Cal. Code Regs., tit. 14, § 15065, subd. (a)(3).) An EIR must discuss the cumulative impacts of a proposed project “when the project’s incremental effect is cumulatively considerable, as defined in section 15065[, subdivision] (a)(3).” (Cal. Code Regs., tit. 14, § 15130, subd. (a).) An EIR’s discussion of a project’s cumulative impacts should be guided by standards of practicality and reasonableness. (Cal. Code Regs, tit. 14, § 15130, subd. (b).) “The cumulative impact from several projects is the change in the environment which results from the incremental impact of the project when added to other closely related past, present, and reasonably foreseeable probable future projects.” (Cal. Code Regs., tit. 14, § 15355, subd. (b).)

However, CEQA does not require that an EIR discuss “specific future action that is merely contemplated or a gleam in a planner’s eye.” (Laurel Heights, supra, 47 Cal.3d at p. 398.) “[M]ere awareness of proposed expansion plans or other proposed development” (Gray v. Madera (2008) 167 Cal.App.4th 1009, 1127) does not constitute a “probable future project” (ibid.) under California Code of Regulations, title 14, section 15130, subdivision (b)(1)(A). (Gray, at p. 1127.) Importantly, where future development is unspecified and uncertain, no purpose is served by requiring an EIR to speculate as to the future environmental consequences of a project. (Environmental Protection Information Center v. California Dept. of Forestry & Fire Protection (2008) 44 Cal.4th 459, 503.)

B. FEIR and Potential Cumulative Impact

Although Segal argues that City should have considered the cumulative impact of future development projects that likely would be triggered by the Project, he fails to identify any reasonably foreseeable probable future projects that would be so triggered and should have been considered by City. Rather, he engages in speculation by arguing that other property owners in the vicinity of the Project probably would use City’s approval of the Project to develop their properties with a scale and bulk similar to the Project’s scale and bulk. That speculation is insufficient to constitute awareness of a proposed future project, much less a probable future project that City must consider in weighing the cumulative impacts of the Project. (Gray v. County of Madera, supra, 167 Cal.App.4th at p. 1127.)

As City and Playa Grande assert, the FEIR discussed the Project’s potential cumulative effects regarding the specific environmental issues addressed therein and found that the Project did not have the potential to result in any cumulative considerable effect regarding those issues. In particular, the FEIR considered existing and future projects in the vicinity of the Project. At the time, the Project was the only proposed mixed-use project in the area. Our review of the record shows there is substantial evidence to support City’s finding that the Project will not have significant cumulative impacts regarding future projects in the area. Although the Project may, as Segal argues, set a “precedent” for future projects, the FEIR was not required to consider the potential cumulative impact of future projects that are merely speculative, but only that of reasonably foreseeable probable future projects. Because the Project was the only proposed mixed-use project at the time of the FEIR, it could not cause any cumulative impact on other reasonably foreseeable probable future projects. Segal has not carried his burden on appeal to show otherwise.

DISPOSITION

The judgment is affirmed. City of San Diego and Playa Grande, LLC, shall recover their costs on appeal.

NARES, J.

WE CONCUR:

McCONNELL, P. J.

HALLER, J.

LEE QUILLAR v. NIKKI ZEPEDA

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Filed 2/22/19 Quillar v. Zepeda CA1/4

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

FIRST APPELLATE DISTRICT

DIVISION FOUR

LEE QUILLAR,

Plaintiff and Appellant,

v.

NIKKI ZEPEDA et al.,

Defendants and Respondents.

A149190

(Solano County

Super. Ct. No. FCS028245)

Lee Quillar, a pro se California inmate, appeals from the trial court’s orders granting defendant Anderson’s motion to set aside a default and denying Quillar’s motion for entry of default against all other defendants. Because neither of these orders is appealable, we dismiss the appeal.

BACKGROUND

On August 1, 2006, Quillar filed a complaint against twelve prison officials, including defendant Anderson. The twelve defendants removed the action to federal court, where the parties litigated the case for several years. After multiple rounds of motions to dismiss and amended pleadings, Quillar filed the operative third amended complaint on July 6, 2009, naming only three defendants: Shankland, Martinez, and Hadenfeldt.

On August 20, 2009, the federal district court dismissed the federal claims in the third amended complaint as to the three remaining defendants. On March 1, 2011, the Ninth Circuit affirmed except as to the claim for denial of access to courts as to defendant Shankland only.

Upon remand from the Ninth Circuit, defendant Shankland filed an answer to the third amended complaint. Defendant Shankland thereafter filed a motion for summary judgment. The district court granted Shankland’s motion for summary judgment as to the denial of access claim—the only remaining federal claim—and declined to exercise supplemental jurisdiction over the remaining state law claims, remanding to the Solano County Superior Court pursuant to 28 United States Code section 1447(c). On October 23, 2015, the Ninth Circuit affirmed the district court’s grant of summary judgment as to defendant Shankland, and it issued its mandate on January 12, 2016.

Accordingly, by the time the case returned to Solano County Superior Court in 2016, the only remaining defendant was Shankland, and the only remaining claims were state law claims over which the district court had declined to exercise supplemental jurisdiction. Nonetheless, on April 21, 2016, Quillar filed a request for entry of default and default judgment against all defendants, purportedly pursuant to the original complaint filed on August 1, 2006. The superior court docket reflects a hearing on April 14, 2016; according to the defendants, the parties discussed plaintiff’s request for entry of default on that date, and the trial court informed the parties that it would notify them if it was considering entering default. However, on April 19, 2016, default was entered against defendant Anderson, and the request for entry of default was denied as to all others.

On May 10, 2016, defendant Anderson moved to set aside the default on three bases: (1) that after removal of the case to federal court, he filed a motion to dismiss the second amended complaint, an action that precludes entry of default; (2) that the district court and Ninth Circuit had already held that the original complaint (upon which the default was purportedly entered) failed to state a cause of action; and (3) that defendant Anderson was no longer a party to the action, as he was not named as a defendant in the operative third amended complaint. On July 22, 2016, the Solano County Superior Court granted Anderson’s motion to set aside the default and denied Quillar’s request for entry of default as to all other defendants. Quillar filed his notice of appeal from these orders on August 7, 2016.

DISCUSSION

In civil cases, a party may seek appellate review only as authorized by Code of Civil Procedure section 904.1. Section 904.1 permits appeals from final judgments and certain interlocutory orders specifically authorized by other statutory schemes. (See Code Civ. Proc., § 904.1, subd. (a); Eisenberg et al., Cal. Practice Guide: Civil Appeals and Writs (The Rutter Group 2018) ¶ 2:21 [Code Civ. Proc. section 904.1 “effectively codifies the common law ‘one final judgment rule’: i.e., an appeal lies only from a final judgment that terminates the trial court proceedings by completely disposing of the matter in controversy” or “other statutes creating rights to appeal particular judgments or orders”].)

Because they are not final judgments, neither of the orders from which Quillar appeals is appealable. (See Barbaria v. Independent Elevator Co. (1955) 133 Cal.App.2d 657, 658–659 [dismissing appeal from denial of plaintiff’s motion for entry of default]; Veliecescu v. Pauna (1991) 231 Cal.App.3d 1521, 1522–1523 [dismissing appeal from order granting defendant’s motion to set aside a default].)

DISPOSITION

Quillar’s appeal from the trial court’s July 22, 2016 orders is dismissed. Quillar’s request for judicial notice and motion to augment the record are denied as moot.

_________________________

BROWN, J.

WE CONCUR:

_________________________

POLLAK, P.J.

_________________________

TUCHER, J.

Quillar v. Zepeda et al. (A149190)

ANITA GARCIA v. CITY OF GLENDALE

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Filed 2/22/19 Garcia v. City of Glendale CA2/1

NOT TO BE PUBLISHED IN THE OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

SECOND APPELLATE DISTRICT

DIVISION ONE

ANITA GARCIA,

Plaintiff and Appellant,

v.

CITY OF GLENDALE et al.,

Defendants and Respondents.

B284985

(Los Angeles County

Super. Ct. No. BC659961)

APPEAL from an order of the Superior Court of Los Angeles County, Benny C. Osorio, Judge. Affirmed.

Jahrmarkt & Associates and John Jarhmarkt, for Plaintiff and Appellant.

Michael J. Garcia, City Attorney, Ann M. Maurer, Chief Assistant City Attorney, and David Ligtenberg, Deputy City Attorney, for Defendants and Respondents.

_________________________

Anita Garcia appeals the denial of leave to bring a personal injury claim against the City of Glendale and Glendale Water and Power (collectively, “Glendale”) beyond the presumptive six-month time limit set forth in Government Code section 911.2, subdivision (a). The trial court found Garcia did not demonstrate reasonable diligence excusing her lateness in bringing the claim, and denied her leave to pursue it. We conclude the trial court did not abuse its discretion in finding a lack of reasonable diligence, and affirm.

BACKGROUND

The Government Code provides a framework for the timely submission of claims to a public entity for a personal injury cause of action—namely, no more than six months after the claim accrues. (§ 911.2, subd. (a).) If an application is made more than six months after the claim accrues, the application can still be considered if it is presented within a reasonable time not to exceed one year from accrual, and the reason for the delay is satisfactorily explained. (§ 911.4, subd. (b).)

Where the public entity denies an application made more than six months after the claim accrues, a party may petition the superior court for relief. (§ 946.6, subd. (a).) In particular, as pertinent to the facts here, to obtain relief in superior court the plaintiff must show (1) her application to the public entity was made within a reasonable time not to exceed one year after accrual of the cause of action, and (2) her failure to present the claim within six months “was through mistake, inadvertence, surprise, or excusable neglect unless the public entity establishes that it would be prejudiced in the defense of the claim . . . .” (§ 946.6, subd. (c)(1).)

Garcia alleges that on August 8, 2016, she suffered a slip and fall accident on a sidewalk at the southwest corner of an intersection in Glendale. The accident resulted in damage to her teeth, as well as bruising and abrasions. Alleging a private entity constructing a project on the northwest corner of the intersection was responsible for her injuries, she made a prelitigation demand to the private entity’s insurer. On February 17, 2017, more than six months (but less than one year) after her cause of action accrued, Garcia submitted an application to Glendale pursuant to section 911.4 for leave to file a personal injury claim against the city and Glendale Water and Power. On March 27, 2017, Glendale denied Garcia’s request for leave to bring a late claim.

On April 28, 2017, Garcia filed suit against the private entity. That same day, Garcia also filed a petition in superior court pursuant to section 946.6 seeking permission to pursue her claim against Glendale. The trial court found the petition timely on the first prong of section 946.6, subdivision (c), as it was made within a reasonable time less than one year from accrual of the claim. Glendale does not take issue with that finding on appeal.

To make the required showing of diligence on the second prong of section 946.6, subdivision (c), Garcia’s counsel submitted a declaration. The declaration stated that counsel reviewed photographs taken by Garcia on the day of the accident as well as on days after the accident. Those photographs showed construction workers and vehicles from the private entity near the sidewalk where Garcia fell (including some equipment blocking the street), and not workers or vehicles from other entities. Counsel also looked at Google Maps, which showed pictures of a construction project near the accident site with signage for the private entity, and the website for the private entity which showed it had a construction project on the northwest corner of the intersection.

Counsel’s declaration stated that he learned for the first time there was a separate, contemporaneous street construction project near the accident site when speaking on February 15, 2017 with an adjuster handling the insurance claim against the private entity. Lacking any indication of Glendale’s involvement other than the adjuster’s comment, two days after this conversation Garcia’s counsel submitted a claim to Glendale “[i]n an abundance of caution” and in the event that Glendale somehow participated in the construction and allowed a dangerous condition to exist that led to the accident.

The trial court found counsel’s initial conclusion that only the private entity was responsible for Garcia’s injuries based solely on looking at photographs from Garcia and Google Maps was not reasonable diligence. The trial court noted that attorneys representing clients in personal injury matters routinely try to locate as many potential tortfeasors as possible to ensure their clients receive adequate compensation, and it is common knowledge that sidewalks, crosswalks, and streets (where the accident allegedly occurred) are typically owned and maintained by public entities. Concluding the declaration did not meet Garcia’s burden to show reasonable diligence such that her failure to present her claim within six months was the result of mistake, inadvertence, surprise or excusable neglect, the court denied Garcia leave to file her proposed claim against Glendale.

DISCUSSION

Courts are to construe liberally remedial statutes such as section 946.6. (Munoz v. State of California (1995) 33 Cal.App.4th 1767, 1783 (Munoz).) “However, this does not mean relief in such cases should be granted casually.” (Id. at pp. 1783−1784.) “Relief on grounds of mistake, inadvertence, surprise or excusable neglect is available only on a showing that the claimant’s failure to timely present a claim was reasonable when tested by the objective ‘reasonably prudent person’ standard.” (Department of Water & Power v. Superior Court (2000) 82 Cal.App.4th 1288, 1293 (DWP).) In other words, the court inquires whether a reasonably prudent person might have made the same error under the same or similar circumstances. (Munoz, supra, 33 Cal.App.4th at p. 1783.)

A trial court’s determination in granting or denying a petition for relief under section 946.6 will not be disturbed on appeal except for an abuse of discretion. (Munoz, supra, 33 Cal.App.4th at p. 1778.) Under this standard, a trial court’s ruling will be upheld “ ‘unless the trial court exercised its discretion in an arbitrary, capricious, or patently absurd manner that resulted in a manifest miscarriage of justice.’ ” (Employers Reinsurance Co. v. Superior Court (2008) 161 Cal.App.4th 906, 919.) A denial of relief under section 946.6 “is examined more rigorously than where relief is granted and any doubts which may exist should be resolved in favor of [relief].” (Drummond v. County of Fresno (1987) 193 Cal.App.3d 1406, 1411, citing Viles v. State of California (1967) 66 Cal.2d 24, 29.) That being said, “ ‘we cannot arbitrarily substitute our judgment for that of the trial court.’ ” (Greene v. State of California (1990) 222 Cal.App.3d 117, 121.)

The trial court did not abuse its discretion. As the court observed, attorneys representing clients in personal injury matters “routinely try to locate as many potential tortfeasors as possible to ensure his or her client receives adequate compensation.” (DWP, supra, 82 Cal.App.4th at p. 1295.) For more than six months after the accident, no investigation was undertaken other than looking at preexisting photographs and a limited Google search focused on the private entity despite common knowledge that sidewalks and streets are typically owned by public entities, and despite Garcia and her counsel’s awareness that the accident took place across the street from the private entity’s construction site. The trial court’s finding that this was not reasonable diligence was within its discretion. (See, e.g., Black v. County of Los Angeles (1970) 12 Cal.App.3d 670, 676−677 (Black).)

Garcia urges us to consider the lack of prejudice to Glendale from allowing the late claim to help excuse her untimely application. However, the plain language of section 946.6, subdivision (c)(1) indicates that prejudice to the public entity is to be considered only after the plaintiff establishes mistake, inadvertence, surprise, or excusable neglect. (See also Powell v. City of Long Beach (1985) 172 Cal.App.3d 105, 108, fn. 1 [if court finds mistake, inadvertence, surprise, or excusable neglect it must then determine prejudice]; Black, supra, 12 Cal.App.3d at pp. 677−678 [“unnecessary to discuss the issue of prejudice” where plaintiff does not make showing of reasonable diligence].) Here, the trial court found that Garcia had not demonstrated reasonable diligence, and therefore it was not required to consider the issue of prejudice.

DISPOSITION

The trial court’s denial of the petition to file a late claim is affirmed. The parties are to bear their own costs on appeal.

NOT TO BE PUBLISHED

WEINGART, J.*

We concur:

CHANEY, Acting P. J.

BENDIX, J.

JANETTE NOLASCO v. SCANTIBODIES LABORATORY, INC third appeal

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Filed 2/26/19 Nolasco v. Scantibodies Laboratory, Inc. CA4/1

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

COURT OF APPEAL, FOURTH APPELLATE DISTRICT

DIVISION ONE

STATE OF CALIFORNIA

JANETTE NOLASCO et al.,

Plaintiffs and Respondents,

v.

SCANTIBODIES LABORATORY, INC.,

Defendant and Appellant.

D073157

(Super. Ct. No. 37-2014-0004716)

APPEAL from an order of the Superior Court of San Diego County, Gregory W. Pollack, Judge. Affirmed.

Niddrie Addams Fuller Singh and David A. Niddrie for Defendant and Appellant.

Letizia Law Firm and Clarice J. Letizia for Plaintiffs and Respondents.

Plaintiffs Janette Nolasco and Brenda Taylor (Plaintiffs) sued defendant Scantibodies Laboratory, Inc. (Scantibodies), for retaliation under California Labor Code section 1102.5. Their complaint included a claim under Labor Code section 2699, the Private Attorney General Act of 2004 (PAGA). The Labor Code section 1102.5 claims were tried to a jury, and the jury found Scantibodies liable for retaliation. The trial court awarded Code of Civil Procedure section 1032 costs to Plaintiffs.

In a separate appeal, Scantibodies appealed from the judgment, and we affirmed. (Nolasco v. Scantibodies Laboratory, Inc. (Feb. 26, 2019, D071923) [nonpub. opn.].) Here, Scantibodies appeals from the award of costs to Plaintiffs, contending their costs request was untimely and relief was unwarranted. Plaintiffs maintain that granting relief was within the court’s discretion. Although it is a close question, we conclude the trial court acted within the scope of its broad discretion, and we therefore affirm.

FACTUAL AND PROCEDURAL BACKGROUND

Plaintiffs’ complaint included claims under Labor Code section 1102.5 and for PAGA penalties, fees, and costs. The case proceeded to a jury trial on the Labor Code section 1102.5 claims. PAGA was mentioned only once and was not on the verdict form. The jury found Plaintiffs established their retaliation claims and, following posttrial motions, the trial court entered judgment in December 2016. The judgment provided “plaintiffs shall recover . . . costs[] pursuant to Code of Civil Procedure (CCP) [section] 1032, in the amount of ____.” The judgment then provided, “In addition, . . . plaintiffs may recover . . . attorney’s fees and such other costs not including those awarded under [Code of Civil Procedure section] 1032, if any, in the amount of ____, and civil penalties, if any, in the amount of ____ pursuant to Labor Code [section] 1102.5[, subdivision] (f), [section] 2699 and [section] 2699.5.”

Plaintiffs served notice of entry of judgment on January 9, 2017 (subsequent dates are in 2017). This notice triggered the 15-day deadline for a memorandum of costs under California Rules of Court, rule 3.1700(a)(1) (Jan. 24; or Jan. 29 with five-day extension for mail service) and the 60-day deadline for a motion for statutory attorney’s fees under rule 3.1702(b)(1) (Mar. 10).

On February 16, Scantibodies appealed from the judgment. On March 10, Plaintiffs’ counsel applied for an ex parte hearing on March 13, in order to extend time for a fees motion. Counsel explained she erroneously assumed the February 16 notice of appeal stayed trial court proceedings. She further explained that “in consulting with appellate counsel” on March 7, she learned the notice of appeal did not stay trial court proceedings with respect to the fees motion and the deadline was still March 10. She indicated defense counsel declined to stipulate to extend the March 10 deadline and she was unable to get an ex parte appearance on March 9 because of the court’s calendar.

At the ex parte hearing on March 13, Plaintiffs’ counsel agreed this was a “request to continue the time . . . to file a motion for prevailing party attorney’s fees.” She noted, “The only reason we pled a PAGA claim in our complaint was for attorney’s fees and costs pursuant to 1102.5. . . .” The court’s minute order stated:

“[T]he Court finds that if Plaintiff[s] file attorneys’ fees motion on or before April 21, 2017, it will be deemed filed nunc pro tunc on March 13, 2017. Plaintiff[s] can address CCP section 473/leave of court to extend deadline issues within their moving papers.”

On April 21, Plaintiffs filed their motion for fees and costs, stating it was based on, among other things, “the memorandum of costs.” They also said the motion was “deemed to be filed nunc pro tunc on March 13,” citing the minute order. Plaintiffs contended the court “ha[d] the power under [section] 473(b) to allow an untimely motion for attorney fees” and requested it grant relief for the same reasons as set forth in the ex parte application (counsel’s belief the notice of appeal stayed all trial court proceedings). With respect to the merits, they argued they were entitled to fees and costs under Labor Code section 2699. They also argued “[section] 1032[, subdivision] (b) provides that . . . an award of costs to a party is mandatory . . . if the party qualifies as the prevailing party . . . .” Plaintiffs’ counsel’s declaration attached a memorandum of costs (for $75,631.59), but indicated they were claiming costs under Labor Code section 2699 and the memorandum was submitted for the purpose of comparing costs spent with those allowed. Plaintiffs subsequently filed multiple errata for the fee motion.

Scantibodies filed its opposition on July 10. Scantibodies argued the request for costs was late and did not have a “proper memorandum of costs”; Plaintiffs did not explain the delay; and the delay was inexcusable.

In their reply brief, filed on July 14, Plaintiffs argued the trial court had discretion under Code of Civil Procedure section 473 “to relieve [them] of the late filing of a memorandum of costs. . . .” They contended they “claim[ed] costs pursuant to Labor Code [section] 2699, many of which are not on the Memorandum of Costs form and require the court’s discretion.” They further contended “[a] cost memorandum was filed as an [e]xhibit to the fee motion, which motion sought relief based on [Code of Civil Procedure section] 473, for plaintiffs’ counsel’s incorrect assumption that upon the filing of a Notice of Appeal by defendants, the trial court lost jurisdiction.” (Italics omitted.)

The trial court heard the motion on July 21. The court granted relief under section 473 and denied the motion on the merits, holding in part that the PAGA claim was abandoned and not tried. On section 1032 costs, the court stated: “You [Plaintiffs’ counsel] filed a 1032 Memorandum of Costs. You need to file the backup documents. . . . Get it over to [defense counsel]. [Defense counsel], you will then have an opportunity to look at it and see if there is any fat. Then we can schedule a hearing on this.” Defense counsel raised timeliness. The court indicated it would set briefing on whether it had authority to allow “leave to file something several months late when . . . the assumption was that costs would simply be dealt with in the PAGA motion,” and that it would look at the case law. The court later phrased the question as whether March 10 was “so far out that [it] no longer ha[d] discretion.”

The trial court’s minute order explained the basis for allowing Plaintiffs to file an untimely PAGA fees and costs motion. It indicated the motion was one business day late, and found this delay “arose from plaintiffs’ counsel’s misunderstanding of the law, further complicated by (1) the unavailability of ex parte hours . . . , and (2) defendants’ unwillingness to stipulate . . . .” The order also set a hearing on section 1032 costs for September 8.

On August 16, Plaintiffs served and filed their motion to determine prevailing party costs. The motion was “made pursuant to [sections] 1032 and 1033.5, and on the further grounds that [the] Court ruled, on July 21, 2017, that plaintiffs were relieved of the late filing of the Memorandum of Costs, pursuant to [section] 473, and that plaintiffs should file another Memorandum with the worksheet and invoices attached, to give defendant the opportunity to move to tax costs . . . .” Plaintiffs concurrently filed a memorandum of costs and worksheet, with supporting documentation. The memorandum requested different amounts for certain costs, and a different overall amount ($75,612.89).

Scantibodies opposed the motion on August 25, contending in part that Plaintiffs’ electronic service was untimely under section 1005; they “apparently assum[ed] that they are entitled to relief under Section 473 [and] did not file the required motion for relief”; and they did not explain how the failure to timely seek costs was excusable.

In their August 31 reply, Plaintiffs argued the motion was timely; the “[section] 473 motion [had] already been decided”; “[t]he only thing further that this court agreed to ‘look at,’ were the cases that had already been cited by [P]laintiffs and defendant in their briefs on the Fee and Cost Motion”; and those cases supported relief.

On September 8, the trial court heard and granted the costs motion. The minute order stated, in pertinent part:

“The court finds that [P]laintiffs’ delay in filing their memorandum of costs was the result of excusable neglect or mistake on the part of their attorney. Plaintiffs’ PAGA attorney’s fees motion, which was ‘deemed filed’ by this court on March 13, 2017, was required to be filed 60 days (not 15 days) after service of notice of entry of judgment pursuant to [rules] 3.1702(b) and 8.104(a). Because that PAGA statute, Labor Code [section] 2699[, subdivision] (g)(1), provides for both ‘reasonable attorney’s fees and costs,’ plaintiffs’ attorney reasonably believed that the filing of her PAGA fee motion would encompass her [section] 1032 ordinary costs as well. (Indeed, in Kaufman v. Diskeeper Corporation (2014) 229 Cal.App.4th 1, 9-10, the court held that the time requirement for filing a memorandum of costs need not be followed where the prevailing party brings an attorney’s fees motion governed by a longer time requirement.) While plaintiffs did file their motion one business day late, such was found to be excusable for the reasons outlined within this court’s minute order of July 21, 2017. The same analysis applies to plaintiffs’ memorandum of costs, which this court finds deemed filed as of March 13, 2017, and, pursuant to [section] 473, viable for the court’s below substantive consideration.”

Scantibodies timely appealed.

DISCUSSION

I
Applicable law

A prevailing party generally is “entitled as a matter of right to recover costs . . . .” (§ 1032, subd. (b).) “A prevailing party who claims costs must serve and file a memorandum of costs within 15 days after the date of service of the notice of entry of judgment or dismissal by the clerk under . . . section 664.5 or the date of service of written notice of entry of judgment or dismissal, or within 180 days after entry of judgment, whichever is first.” (Rule 3.1700(a)(1).) “The time provisions relating to the filing of a memorandum of costs, while not jurisdictional, are mandatory.” (Hydratec, Inc. v. Sun Valley 260 Orchard & Vineyard Co. (1990) 223 Cal.App.3d 924, 929 (Hydratec).)

Rule 3.1702 “applies in civil cases to claims for statutory attorney’s fees and claims for attorney’s fees provided for in a contract.” (Rule 3.1702(a).) The fees motion must be filed “within the time for filing a notice of appeal”; i.e., 60 days after notice of entry of judgment, or 180 days after entry of judgment, whichever is earliest. (Rule 3.1702(b)(1).)

Under PAGA, “[a]ny employee who prevails in any action shall be entitled to an award of reasonable attorney’s fees and costs . . . .” (Lab. Code, § 2699, subd. (g); Villacres v. ABM Industries Inc. (2010) 189 Cal.App.4th 562, 578 [“If an employee prevails in a PAGA action, he or she is entitled to an award of reasonable attorney fees and costs.”].)

Pursuant to section 473, “a superior court may grant relief to a party where through mistake, inadvertence or excusable neglect a memorandum of costs has not been filed within the statutory period.” (Rio Vista Gas Assn v. State of California (1961) 188 Cal.App.2d 555, 565.) “The party seeking relief under section 473 must also be diligent. [Citation.] Thus, an application for relief must be made ‘within a reasonable time, in no case exceeding six months, after the judgment, dismissal, order, or proceeding was taken.’ ” (Zamora v. Clayborn Contracting Group, Inc. (2002) 28 Cal.4th 249, 258 (Zamora), quoting § 473, subd. (b).)

We review a court order granting or denying relief under section 473, subdivision (b) for abuse of discretion. (See Pollard v. Saxe & Yolles Dev. Co. (1974) 12 Cal.3d 374, 381 (Pollard); Hoover Community Hotel Development Corp. v. Thomson (1985) 168 Cal.App.3d 485, 488 (Hoover) [“[A] trial court has broad discretion in allowing relief from a late filing where . . . there is an absence of a showing of prejudice to the opposing party.”]; Shamblin v. Brattain (1988) 44 Cal.3d 474, 478 (Shamblin) [“The appropriate test for abuse of discretion is whether the trial court exceeded the bounds of reason.”].)

II
Analysis

A. The Trial Court Had Authority to Award Costs

Scantibodies argues the trial court lacked authority to award costs because Plaintiffs requested relief beyond the six-month period required under section 473, and because relief was not authorized under rule 3.1700(a)(1). Neither argument supports Scantibodies’s position that the court lacked jurisdiction to award costs here.

An application for relief under section 473, subdivision (b) must be made within six months ” ‘after the judgment, dismissal, order, or proceeding was taken.’ ” (Zamora, supra, 28 Cal.4th at p. 258, quoting § 473, subd. (b).) Scantibodies contends Plaintiffs did not seek relief for the late memorandum of costs until August 2017, approximately seven months after it was due. However, Scantibodies is incorrect to focus on the period from January through August. “[T]he courts have consistently found . . . the six-month period in which a trial court is empowered to act [under section 473] commences to run[] when a procedural time limit is raised as an objection by an adversary or is in some manner enforced by the trial court.” (Save Our Forest & Ranchlands v. County of San Diego (1996) 50 Cal.App.4th 1757, 1770.) Plaintiffs’ counsel learned the notice of appeal did not stay proceedings on the fee motion on March 7, sought ex parte relief on March 10, and filed the PAGA fees and costs motion on April 21 (deemed filed on March 13), in which they sought section 473 relief for that motion. Their counsel then learned they had to file a costs memorandum from Scantibodies’s July 10 opposition, contended they were entitled to section 473 relief for their costs memorandum in their July 14 reply, and further briefed the issue in their August 31 reply for their section 1032 costs motion. Under Save Our Forest & Ranchlands, we look to July 10 to determine whether Plaintiffs’ request was timely, when Scantibodies first objected to Plaintiffs’ failure to file a memorandum of costs. Because Plaintiffs pursued relief four days later, their section 473 request was timely brought within six months.

We also reject Scantibodies’s claims based on rule 3.1700. Scantibodies contends the memorandum of costs was untimely under rule 3.1700(a)(1); the time to file was never extended by the trial court under rule 3.1700(b); and the court lacked authority to accept the memorandum after the deadline. As Scantibodies itself acknowledges, however, the time limit under rule 3.1700(a)(1) is not jurisdictional (Hydratec, supra, 223 Cal.App.3d at p. 929). In any event, no extension was requested or granted here pursuant to rule 3.1700, and the court was authorized to consider the Plaintiffs’ request for relief under section 473.

B. The Trial Court Did Not Abuse Its Discretion

Absent prejudice, the court had broad discretion to grant relief under section 473. Scantibodies contends it was prejudiced by Plaintiffs’ delay, citing the accrual of interest from the entry of judgment and having “less than 10 days” to assess costs (rather than the 15 days available under rule 3.1700(b) to tax costs). The trial court acknowledged interest was accruing, but nevertheless found there was no prejudice. Scantibodies’s arguments do not establish this finding was in error. First, although it was Plaintiffs who initially delayed in seeking costs, both parties heavily litigated the issue over several months. Second, Scantibodies does not establish it had insufficient time to assess Plaintiffs’ requested costs. The “10 days” appears to refer to the time between Plaintiffs’ costs motion on August 16 and their opposition on August 25. But Scantibodies knew Plaintiffs were seeking section 1032 costs no later than July 2017; it had their costs attachment from April 2017; and it does not contend the costs memorandum filed in August 2017 reflected material differences. Scantibodies proceeded to file its opposition, and the trial court reduced the claimed costs after considering Scantibodies’s objections.

We now turn to excusable neglect. In determining whether an “attorney’s mistake or inadvertence was excusable, ‘the court inquires whether “a reasonably prudent person under the same or similar circumstances” might have made the same error.’ ” (Zamora, supra, 28 Cal.4th at p. 258, italics omitted.) ” ‘The controlling factors in determining whether an attorney’s mistake was excusable are (1) the reasonableness of the misconception and (2) the justifiability of the failure to determine the correct law.” (McCormick v. Board of Supervisors (1988) 198 Cal.App.3d 352, 360 (McCormick); id. at p. 361 [court must consider “overall diligence in prosecuting the case”].)

Here, the trial court determined the late filing of Plaintiffs’ costs memorandum was excusable because of counsel’s (1) assumption that section 1032 costs could be pursued in a PAGA motion; and (2) misunderstanding of the impact of the appeal, complicated by the unavailability of ex parte hours and Scantibodies’s unwillingness to stipulate. Applying a deferential standard of review, as we must, we cannot conclude the court exceeded all bounds of reason based on its evaluation of the circumstances. (Shamblin, supra, 44 Cal.3d at p. 478.)

Plaintiffs pled a PAGA cause of action and—regardless of their efforts to try that claim (or lack thereof)—the judgment allowed for potential recovery of costs under both section 1032 and PAGA. Counsel indicated she did not file a costs memorandum sooner because she assumed she could seek costs in the PAGA motion, and the trial court found that claim credible. (Minick v. City of Petaluma (2016) 3 Cal.App.5th 15, 24 [“factual findings in the exercise of that discretion (under § 473) are entitled to deference”].) Plaintiffs identified cases that purportedly supported their approach, and the trial court found one persuasive enough to cite it. (See Kaufman, supra, 229 Cal.App.4th at pp. 9 10.) Scantibodies maintains that a costs memorandum is necessary under PAGA, but it does not provide authority for such a requirement. Given these circumstances, we conclude the trial court did not abuse its discretion in finding Plaintiffs’ attempt to seek section 1032 costs via their PAGA motion was reasonable.

Counsel’s erroneous belief that the notice of appeal stayed proceedings relating to her fees and costs request likely would be unreasonable in isolation—it is not complex or debatable (McCormick, supra, 198 Cal.App.3d at p. 360), and elementary legal research would have revealed counsel’s obvious error. (See Eisenberg et al., Cal. Practice Guide: Civil Appeals and Writs (The Rutter Group 2018) ¶ 7:21, p. 7-11 [trial court “retains jurisdiction to award or tax costs after an appeal is taken”]; Carpenter v. Jack in the Box Corp. (2007) 151 Cal.App.4th 454, 461 [appeal did not divest trial court of jurisdiction to consider fees and costs].) Counsel’s remark at the ex parte hearing suggesting excusable neglect was established “because I don’t do appeals” is troublesome. And this was not counsel’s only mistake. We need not recount all the other errors; they are detailed in Scantibodies’s reply brief. But we are mindful that the ” ‘abuse-of-discretion standard requires us to uphold a ruling which a reasonable judge might have made, even though we would not have ruled the same and a contrary ruling would also be sustainable.’ ” (Harman v. City and County of San Francisco (2007) 158 Cal.App.4th 407, 428.)

Despite counsel’s mistakes, counsel did ultimately file both a memorandum of costs and briefing that addressed section 473, and as discussed ante, Scantibodies did not establish prejudice. Having presided over a lengthy trial and extensive posttrial proceedings, the trial court was in the best position to evaluate the competing factual claims regarding Plaintiffs’ counsel’s actions. The trial court could reasonably decide it was appropriate to consider her “overall diligence,” not focus on each individual belief or action. (See LeDeit v. Ehlert (1962) 205 Cal.App.2d 154, 170 [granting relief for untimely costs bill where there were multiple reasons for delay, including counsel’s mistaken belief that stay resulted from notice of appeal; association with three institutions and closing out of his office; and ” ‘tremendous work load’ “].) And Scantibodies does not dispute that the delay in filing the PAGA motion was complicated by the unavailability of ex parte dates and its decision not to stipulate. Viewing the record as a whole, and deferring to the trial court’s factual findings, we cannot say the trial court’s ruling “exceeded the bounds of reason.” (Shamblin, supra, 44 Cal.3d at p. 478.)

DISPOSITION

The order is affirmed. The parties will bear their own costs on appeal.

GUERRERO, J.

WE CONCUR:

AARON, Acting P. J.

DATO, J.

DAISY Z v. THE SUPERIOR COURT OF CONTRA COSTA COUNTY

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Filed 2/26/19 Daisy Z. v. Superior Court CA1/2

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

FIRST APPELLATE DISTRICT

DIVISION TWO

DAISY Z.,

Petitioner,

v.

THE SUPERIOR COURT OF CONTRA COSTA COUNTY,

Respondent;

CONTRA COSTA COUNTY CHILDREN & FAMILY SERVICES BUREAU,

Real Party in Interest.

A156003

(Contra Costa County

Super. Ct. No. J1800728)

The juvenile court declined to order services to reunify Daisy Z. with her six-month-old son J.Z. pursuant to Welfare and Institutions Code section 361.5, subdivision (b)(10), on the ground she had failed to reunify with J.Z.’s older half-sister in another case. That provision authorizes the juvenile court to bypass reunification services upon a finding by clear and convincing evidence that “the court ordered termination of reunification services for any siblings or half siblings of the child because the parent or guardian failed to reunify with the sibling or half sibling after the sibling or half sibling had been removed from that parent or guardian pursuant to Section 361 and that parent or guardian is the same parent or guardian described in subdivision (a) [i.e., the parent from whose custody the child has been removed] and that, according to the findings of the court, this parent or guardian has not subsequently made a reasonable effort to treat the problems that led to removal of the sibling or half sibling of that child from that parent or guardian.”

Mother now petitions for writ relief challenging the juvenile court’s December 10, 2018 order bypassing reunification services and setting a hearing pursuant to Welfare and Institutions Code section 366.26 to select a permanent plan for her infant son. She contends the court erred in bypassing reunification services for her under section 361.5, subdivision (b)(10). We agree. Accordingly, we grant her petition.

BACKGROUND

In 2013, child protective authorities in San Francisco County received a referral that mother had physically abused her ten-month-old daughter, Isabella. The child’s father had reported to police that mother had made several threats to harm the baby (and had sent him photographic proof), including threats to burn the baby with a lighter, stand on top of the baby as she lay face down on the floor, and strangle the baby’s neck with a cord. In addition, mother also threatened to harm the baby with a heated knife, and then she started to carry out that threat, but the baby’s father intervened before she could harm the child, left home with the child and called police. Mother admitted to police that she had threatened to cut, burn or withhold food from their baby daughter. She was arrested, convicted of felony child cruelty, received a six-year sentence and was incarcerated for three years.

The incident precipitated a dependency proceeding in San Francisco, which remained pending in 2013 for approximately six months. The San Francisco juvenile court sustained (unspecified) allegations under section 300 subdivisions (a) and (b), ordered family maintenance services to the baby’s father and “supportive services” to mother who was incarcerated, and ultimately in October 2013 dismissed the petition and terminated jurisdiction with an award of full physical and legal custody of the child to her father, with supervised visitation to mother.

Several years later, in January 2017, a second dependency proceeding was commenced for Isabella in Contra Costa County Superior Court after mother had been arrested by the Richmond Police Department for child cruelty (Pen. Code, § 273a) and a probation violation. In violation of court orders, the girl’s father had allowed mother to care for the four-year-old little girl without supervision, and the youngster had been found crying in the street because mother had left her at home unattended. A three-year restraining order was entered on March 15, 2017, prohibiting mother from having any contact with Isabella other than as ordered by the juvenile court. And both parents were offered reunification services.

J.Z. was born while that second case was pending, and he was immediately taken into protective custody by Contra Costa County child welfare officials while still in the hospital, due to concerns for his safety. Among other things, mother had made limited progress on her case plan in Isabella’s case, and mother also admitted during an interview in the hospital that J.Z.’s own father (mother’s new boyfriend) had physically assaulted her while she was pregnant with J.Z.

This dependency proceeding was commenced the day after J.Z. was born, on August 1, 2018. The juvenile court sustained allegations that the newborn boy was at risk of serious harm for two reasons: because his biological father had physically assaulted mother while she was pregnant (and was criminally convicted as a result), and because mother had failed to reunify with J.Z.’s half-sister, Isabella. Subsequently, on September 24, 2018, the juvenile court terminated reunification services for mother in Isabella’s case. Approximately two months later at a contested disposition hearing in this case, the juvenile court bypassed reunification services for mother with respect to J.Z. on the ground mother had not made reasonable efforts to address the issues in Isabella’s dependency proceeding. It set a section 366.25 hearing for March 25, 2019, and this writ petition followed.

DISCUSSION

Mother concedes that reunification services were terminated as to J.Z.’s half-sister Isabella, but contends that substantial evidence doesn’t support the court’s finding that Isabella was previously removed from her care because there is nothing in the (limited) record of either prior case indicating mother ever had physical custody of Isabella. The Contra Costa Children and Family Services Bureau (the Bureau) concedes this issue on the state of the present record, and therefore agrees the order should be reversed on this basis and suggests the case be remanded for a new hearing.

Despite the Bureau’s concession, we reject this argument for two reasons, one factual and the other one legal. First, the record indicates that at some point mother did live with Isabella’s father and share custody of their daughter: the disposition report notes that the two were married and that one source of “tension” in their relationship was the fact that mother “had to quit her job to care for Isabella.” Second, even if Isabella had never been in mother’s physical custody, the legal premise of mother’s argument is mistaken. In re B.H. (2016) 243 Cal.App.4th 729, a case not cited by either party, holds section 361.5, subdivision (b)(10) applies to a parent who did not have physical custody of the sibling with whom they failed to reunify. In rejecting a narrow interpretation of the exception, it explained: “We are not persuaded by Father’s claim during oral argument that section 361.5, subdivision (b)(10), does not apply to a noncustodial parent of the child’s sibling or half sibling. Father appears to interpret the term ‘removal’ in section 361.5, subdivision (b)(10), to mean the taking of the child ‘from the physical custody of [the parent] with whom the child resides at the time the petition was initiated,’ as defined in section 361, subdivision (c), and argues a child cannot be ‘removed’ from a noncustodial parent. [Citations.] In this context, we find the term ‘removal’ encompasses the continued removal of the child’s sibling or half sibling from the care of his or her parent during the previous dependency proceedings, notwithstanding the parent’s custodial status. ‘Custody,’ based on the definitions of ‘custody’ in the Welfare and Institutions Code, the Family Code, the California Code of Regulations, and Black’s Law Dictionary, connotes ‘the parent has the right to make decisions pertaining to the child, and has legal possession of the child.’ [Citations.] We believe the Legislature contemplated section 361.5, subdivision (b)(10), to apply in these circumstances whether or not a parent has custody of the child’s sibling or half sibling.” (Id. at pp. 738–739.)

And it explained the absurdity of a contrary construction: “Interpreting section 361.5, subdivision (b)(10), to apply only to custodial parents would result in absurd consequences. . . . Such an interpretation would delay permanency for the child of a noncustodial parent who had been unable or unwilling to reunify with the child’s sibling or half sibling. This would lead to an inconsistent application of the bypass provision depending on the custodial status of the parent at the time the sibling’s or half sibling’s dependency proceeding was initiated, notwithstanding the fact that a parent was unable to reunify with the sibling or half sibling and a parent’s circumstances had merited termination of his or her parental rights to the child’s sibling or half sibling.” (Id. at p. 739.) In short, mother’s assumption that section 361.5, subdivision (b)(10) does not apply unless the sibling with whom a parent failed to reunify was removed from the parent’s physical custody is not the law.

We do agree, however, with mother’s second argument: that the juvenile court’s finding she failed to make reasonable efforts to treat the problems that led to the removal of J.Z.’s half-sister in the other cases is not supported by substantial evidence. The Bureau has not responded to this point, and it is unnecessary to analyze at length the law or evidence bearing on this issue which is fairly and adequately summarized in mother’s petition. Principally for the reasons she discusses, and as reflected in In re Albert T. (2006) 144 Cal.App.4th 207 which reversed a court’s bypass of reunification services for lack of substantial evidence in similar circumstances, we conclude the court erred in applying the bypass provision of section 361.5, subdivision (b)(10). The juvenile court’s stated concerns with mother’s failure to address domestic violence problems and/or engage in drug testing and/or to visit regularly with Isabella were not the reasons Isabella had been removed from parental custody and adjudged a dependent. (See In re Albert T., 144 Cal.App.4th at p. 220 [although domestic violence was a concern at time of sibling’s removal, “the reasonable-efforts-to-treat prong of section 361.5, subdivision (b)(10), is directed not to all the issues that confronted a parent in a prior dependency proceeding but specifically to ‘the problems that led to the removal of the sibling’ ”].) Rather, Isabella was removed because of physical abuse (in the first case) and neglect (in the second case). The “reasonable effort to treat” standard is directed to a parent’s efforts, not a parent’s success or failure in abolishing past problems. It “ ‘is not synonymous with “cure.” The mere fact that [the parent] has not entirely abolished her [past] problem would not preclude the court from determining that she had made reasonable efforts to treat it.’ ” (Id. at p. 221.) Here, mother had engaged in therapy while incarcerated, she acknowledged that she had made mistakes later in leaving Isabella alone and unattended and had recently enrolled in a parenting class and begun therapy anew. Particularly in light of the limited record made about the prior dependency cases, this record does not contain substantial evidence that mother failed to make reasonable efforts to treat her past problems that led to the removal of Isabella. (See In re D.H. (2014) 230 Cal.App.4th 807, 815–817 [finding held unsupported where, inter alia, record does not contain case plan for siblings’ dependency case or “any report of specific services provided to father in the context of that case”].)

DISPOSITION

Let a peremptory writ of mandate issue, directing the juvenile court to vacate its December 10, 2018 order bypassing reunification services and setting a permanency planning hearing under Welfare and Institutions Code section 366.26. Our decision is final as to this court immediately. (Cal. Rules of Court, rules 8.452(i), 8.490(b)(2)(A).)

STEWART, J.

We concur.

RICHMAN, Acting P.J.

MILLER, J.

Daisy Z. v. Superior Court (A156003)

BROOKE STJERNE v. ELDORADO POLO CLUB

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Filed 2/26/19 Stjerne v. Eldorado Polo Club CA4/2

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

FOURTH APPELLATE DISTRICT

DIVISION TWO

BROOKE STJERNE et al.,

Plaintiffs and Appellants,

v.

ELDORADO POLO CLUB et al.,

Defendants and Respondents.

E069091

(Super.Ct.No. PSC1505835)

OPINION

APPEAL from the Superior Court of Riverside County. Gloria Trask, Judge. Affirmed in part; reversed in part.

Kasdan Lippsmith Weber Turner, Graham B. LippSmith and Jaclyn L. Anderson for Plaintiffs and Appellants.

Daley & Heft, Lee H. Roistacher, Robert H. Quayle IV and Kristina M. Pfeifer for Defendants and Respondents.

In a third amended complaint (TAC), Brooke Stjerne (Mother), Kyle Stjerne (Father), and Danica Stejerne (the victim) sued Eldorado Polo Club (Eldorado), Desert Polo Land Company, LLC (Desert Polo), and others for negligence and premises liability. Mother and Father sued Eldorado, Desert Polo, and others for negligent infliction of emotional distress.

The trial court granted Eldorado’s motion for summary adjudication as to Mother’s and Father’s claims for negligence and premises liability because Mother and Father conceded their claims were not viable. The trial court granted Eldorado’s motion for summary adjudication as to the negligent infliction of emotional distress cause of action because Mother and Father did not witness the victim being injured.

The trial court granted Desert Polo’s motion for summary adjudication as to the negligent infliction of emotional distress cause of action. The trial court granted Desert Polo’s motion for summary judgment as to the negligence and premises liability causes of action.

Mother and Father contend the trial court erred by dismissing their negligent infliction of emotional distress cause of action. Mother, Father, and the victim (collectively, the Family) contend the trial court erred by granting Desert Polo’s motion for summary judgment on the negligence and premises liability causes of action. We affirm the grant of summary adjudication, but reverse the grant of summary judgment.

FACTUAL AND PROCEDURAL HISTORY

A. THIRD AMENDED COMPLAINT

In March 2015, the victim was 19 months old. Desert Polo owned, maintained, operated, controlled, and supervised a polo field in Indio (the field). Eldorado maintained, operated, controlled, and supervised the field. A “ ‘safety zone’ ran parallel to the length of the field merely 10 yards from the playing field and was delineated in part by signs that provided, ‘FOR YOUR SAFETY STAY BEHIND THE WHITE LINE.’ ” There were 11-inch high sideboards along the field.

A picnic area was located beyond the “safety zone” signs—approximately 20 to 25 yards from the field’s sidelines. The area included tables with seats facing away from the polo matches. Cars were permitted to park near the picnic area, which allowed for tailgating.

On March 29, 2015, the Family was at the field’s picnic area while a polo match was taking place. Charles Petersen (Petersen) was playing in the polo match. In the final seconds of the match, Petersen’s team was ahead by one point. In those final seconds, Petersen struck the polo ball, sending it flying into the picnic area. The ball struck the victim’s head. The victim “suffered and continues to suffer from . . . severe brain injuries, including bleeding on her brain.”

B. ELDORADO

1. MOTION FOR SUMMARY ADJUDICATION

Eldorado moved for summary adjudication. Eldorado asserted Mother’s and Father’s claims for negligence and premises liability lacked merit because Mother and Father were bystanders and were only claiming emotional distress damages. Eldorado asserted Mother’s and Father’s claims for negligent infliction of emotional distress failed because Mother and Father did not witness the victim being struck by the polo ball.

Eldorado provided a partial transcript of Mother’s deposition. Mother estimated she was “[l]ess than 15 feet” away from the victim when the victim was struck by the ball. Prior to the victim being struck, the victim was playing, and Mother “was sitting under the pop-up.” The following exchange occurred during the deposition:

“[Attorney:] Did you actually observe her getting hit by the ball?

“[Mother:] No.

“[Attorney:] When did you first become aware that she was hit by the ball?

“[Mother:] I heard her screaming, and she was laying on the grass.

“[Attorney:] So her crying got your attention, and then when you looked at her, she was on the grass?

“[Mother:] Yes.

“[Attorney:] What happened next?

“[Mother:] I ran over to her, and she was surrounded by people. And I asked if she had just fallen or gotten pushed over or if the ball had actually hit her, and a couple of the people said that she had been hit by the ball. I asked where, and they said her head.”

Eldorado provided a partial transcript of Father’s deposition. Father estimated the victim was 10 feet away from him when she was struck. Father was facing the victim. The following exchange occurred during the deposition:

“[Attorney:] Did you see [the victim] get hit by the ball?

“[Father:] No, I did not.

“[Attorney:] Do you know what you were doing when [the victim] got hit by the ball?

“[Father:] At that point in time, I was encouraging my son to try to play catch with me. . . . He wasn’t interested. . . . My attention was drawn back towards the field based on just what I observed the other spectators doing. That is when the ball flew by me, almost hitting me. By the time that happened, I moved out of the way of the ball to avoid getting hit. [The victim] was on the ground, screaming.

“[Attorney:] So you saw—did you actually see the ball get hit?

“[Father:] No.

“[Attorney:] But you did see it coming in your direction?

“[Father:] After, again, I observed people standing up looking in my direction, I looked back towards the field, I instinctually moved out of the way when I saw something coming directly at me. I assumed, then, that is the ball traveling past me. As it went past me, it struck my daughter in the head. She is then screaming and crying on the ground, so I attended to her.

“[Attorney:] Were you the first person to reach [the victim] after she was struck by the ball?

“[Father:] I believe there were—there was another adult who got to her right before I did, but I believe, of our party, I was the first one to get to her. [¶] . . . [¶]

“[Attorney:] So what happened after [the victim] was hit by the ball and you had gone to her?

“[Father:] I was trying to assess exactly what had happened. That’s when someone informed us that the ball had hit her on the head. My immediate concern was for her health and safety. You know, I tried to determine if she was bleeding, what the extent of any kind of injury was, and she was just hysterical. I was just trying to get information as to what had took [sic] place.”

2. OPPOSITION

Mother and Father opposed Eldorado’s motion. Mother and Father asserted they did not intend to bring claims for negligence and premises liability on their own behalves; rather, the two causes of action were brought on behalf of the victim. Mother and Father explained the Family’s case as follows: (1) the first cause of action, for negligence, was by the victim against all remaining defendants; (2) the second cause of action, for premises liability, was by the victim against all remaining defendants; and (3) the third cause of action, for negligent infliction of emotional distress, was by Mother and Father against all remaining defendants.

As to the negligent infliction of emotional distress cause of action, Mother and Father asserted their claim had merit because they heard the victim crying immediately upon being struck and ran over to her. Mother and Father asserted they did not have to witness the ball striking the victim in order to have a valid claim.

3. HEARING

The trial court held a hearing on Eldorado’s motion. In regard to negligent infliction of emotional distress, Mother and Father said the law provided, “ ‘A plaintiff may recover for the injury perceived by other senses so long as the event is contemporaneously understood as causing injury to a close relative.’ ” The trial court responded, “That’s the problem that we have here. For [Father], he knew that a polo ball flew by him, and he saw his daughter screaming and crying on the ground, but he did not appreciate that it was the polo ball that had hit his daughter, so he was not contemporaneously aware of the event causing injury to his daughter . . . , and he didn’t discover the cause of her injuries until after the accident occurred. And so that’s what I base it on as to [Father]. As to [Mother], she didn’t see the event, that is she didn’t see the ball hitting [the victim], and there’s no evidence on that fact.”

Mother and Father asserted that the law does not require a plaintiff to have visually witnessed the impact in order to sue for negligent infliction of emotional distress. Mother and Father contended that their proximity to the victim at the time of the impact was sufficient for negligent infliction of emotional distress. The trial court said, “[M]other hears her daughter screaming, but she didn’t know the reason until she discovers it later. That’s not contemporaneous.” The trial court granted Eldorado’s motion for summary adjudication as to Mother’s and Father’s claims for negligence, premises liability, and negligent infliction of emotional distress.

C. DESERT POLO

1. MOTION

Desert Polo moved for summary judgment, or, alternatively, summary adjudication. Desert Polo asserted “it leased an empty field and club house to Eldorado . . . . [Desert Polo’s] ownership of the premises does not subject it to liability because [the Family] allege[s] that they were injured as a result of polo operations that were conducted by others on the leased premises, not any defect in the premises.” (Boldface omitted.) Desert Polo contended it “had no role in the control over or supervision of the Eldorado Polo Club polo field, spectator areas, parking areas, tailgating areas, tents, sidelines, barriers, or signage for polo matches, including the match in which [the Family] allege[s] [the victim was] injured.” Desert Polo provided a copy of Eldorado’s lease.

Desert Polo further argued that Mother’s and Father’s negligent infliction of emotional distress claims failed “because they did not see the ball hit [the victim] and therefore [they] lack the required contemporaneous sensory impression of the injury-causing event.” Desert Polo contended that being in proximity of the victim and seeing the victim after the impact were insufficient for negligent infliction of emotional distress. Desert Polo provided a portion of Father’s deposition transcript, including the portion quoted ante. Desert Polo also provided a portion of Mother’s deposition transcript, including the portion quoted ante.

2. OPPOSITION

The Family opposed Desert Polo’s motion. The Family asserted that “even during the Polo Season, Desert Polo ha[d] ‘the right to enter into [the] Premises at any time, in the case of an emergency, and otherwise at reasonable times after reasonable notice, for the purpose of inspecting the condition of the Premises.’ ” The Family contended that Desert Polo also retained the right to relocate, modify, and remodel any improvements at the field. The Family asserted Desert Polo was obligated to maintain its property in a reasonably safe condition and to inspect its property. The Family asserted Desert Polo “could have exercised its rights under the Lease to address the false safety zone.”

In regard to negligent infliction of emotional distress, Mother and Father asserted they “were present at the scene of the incident and had sensory awareness of [the victim’s] injuries,” and therefore were “entitled to assert their claims” for negligent infliction of emotional distress.

3. REPLY

Desert Polo filed a reply to the Family’s opposition. Desert Polo asserted it leased empty land to Eldorado, and the Family failed to allege a dangerous condition on the property that existed prior to the lease. Desert Polo contended it had no duty to inspect the field after leasing it to Eldorado. Desert Polo asserted its right to enter the field for inspections did not create a duty that it inspect the field.

In regard to negligent infliction of emotional distress, Desert Polo conceded that Mother and Father did not have to see the impact. However, Desert Polo argued that being near the incident without contemporaneously perceiving the impact was insufficient. Desert Polo contended Mother and Father had to contemporaneously perceive the victim being hurt in order have a valid claim for negligent infliction of emotional distress.

4. HEARING

The trial court held two hearings on Desert Polo’s motion. At the first hearing, the trial court explained that Mother and Father did not have a contemporaneous perception of the victim sustaining her injury, and therefore, their claims for negligent infliction of emotional distress failed. The trial court granted summary adjudication on Mother’s and Father’s claims for negligent infliction of emotional distress.

The second hearing concerned the issue of negligence/premises liability. The Family contended, “The Courts have come to the conclusion that a landlord who has actual knowledge of a dangerous condition on his property should be . . . held to owe a duty of care only when he has the right to prevent the presence of the dangerous condition on the premises.” The trial court responded, “So that’s exactly the problem, actual knowledge. . . . There is no actual knowledge. This was a lessor of unimproved real estate.” The trial court granted summary judgment in favor of Desert Polo.

DISCUSSION

A. NEGLIGENT INFLICTION OF EMOTIONAL DISTRESS

1. CONTENTION

Mother and Father contend the trial court erred by granting summary adjudication in favor of Eldorado and Desert Polo on their claims of negligent infliction of emotional distress.

2. STANDARD OF REVIEW

“Because this matter reaches us after summary adjudication, we review the motion de novo. [Citation.] We review the facts presented to the trial court and independently determine their effect as a matter of law.” (Transamerica Ins. Co. v. Superior Court (1994) 29 Cal.App.4th 1705, 1713-1714.)

3. LAW

“Negligent infliction of emotional distress is a form of the tort of negligence, to which the elements of duty, breach of duty, causation and damages apply. The existence of a duty is a question of law. [Citation.] ‘The distinction between the “bystander” and the “direct victim” cases is found in the source of the duty owed by the defendant to the plaintiff.’ [Citation.] ‘Bystander’ claims are typically based on breach of a duty owed to the public in general [citation], whereas a right to recover for emotional distress as a ‘direct victim’ arises from the breach of a duty that is assumed by the defendant or imposed on the defendant as a matter of law, or that arises out of the defendant’s preexisting relationship with the plaintiff.” (Huggins v. Long Drug Stores California, Inc. (1993) 6 Cal.4th 124, 129.)

“The [high] court first recognized the right to recover damages based on a bystander observing another person being injured in [Dillon v. Legg (1968) 68 Cal.2d 728 (Dillon)]. The court explained that the following factors need to be considered to assess foreseeability: ‘(1) Whether [the] plaintiff was located near the scene of the accident as contrasted with one who was a distance away from it. (2) Whether the shock resulted from a direct emotional impact upon [the] plaintiff from the sensory and contemporaneous observance of the accident, as contrasted with learning of the accident from others after its occurrence. (3) Whether [the] plaintiff and the victim were closely related, as contrasted with an absence of any relationship or the presence of only a distant relationship.’ ” (Moon v. Guardian Postacute Services, Inc. (2002) 95 Cal.App.4th 1005, 1009.)

In Thing v. La Chusa (1989) 48 Cal.3d 644, 647-648 (Thing), a minor was struck by an automobile while his mother “was nearby, but neither saw nor heard the accident. She became aware of the injury to her son when told by a daughter that [her son] had been struck by a car. She rushed to the scene where she saw her bloody and unconscious child, who she believed was dead, lying in the roadway.” The mother sued the defendants for negligent infliction of emotional distress. (Id. at p. 648.)

The trial court granted the defendants’ motion for summary judgment because the mother’s claim for negligent infliction of emotional distress failed due to the mother not contemporaneously and sensorily perceiving the accident. (Thing, supra, 48 Cal.3d at p. 648.) The court of appeal reversed, reasoning that “contemporaneous awareness of a sudden occurrence causing injury to her child was not a prerequisite to recovery under Dillon.” (Ibid.)

The Supreme Court explained that the point of the three Dillon factors was to evaluate the degree of foreseeability. (Thing, supra, 48 Cal.3d at p. 655.) The Supreme Court disagreed with the court of appeal, concluding that a required factor for a bystander case is that the bystander “is present at the scene of the injury producing event at the time it occurs and is then aware that it is causing injury to the victim.” (Id. at p. 667-668, fn. omitted.) The majority of the high court wrote, “While not forthrightly acknowledging the inescapable necessity of limits that will in some cases seem arbitrary, the dissent . . . itself suggests a different, but no less arbitrary, limit—that the plaintiff may recover if he or she witnesses the ‘immediate’ consequences of the third party injury (Why stop there? Is that a less arbitrary line?)” (Id. at p. 668, fn. 11.)

The majority wrote, “The undisputed facts establish that plaintiff was not present at the scene of the accident in which her son was injured. She did not observe defendant’s conduct and was not aware that her son was being injured. She could not, therefore, establish a right to recover for the emotional distress she suffered when she subsequently learned of the accident and observed its consequences.” (Thing, supra, 48 Cal.3d at p. 669.) The high court concluded the trial court properly granted summary judgment. (Ibid.)

Since Thing, the Supreme Court has held the line for foreseeability at bystanders contemporaneously sensing the injury causing event. In 2002, the Supreme Court wrote, “One takes a giant leap . . . by imposing liability for [negligent infliction of emotional distress] based on nothing more than a bystander’s ‘observation of the results of the defendant’s infliction of harm,’ however ‘direct and contemporaneous.’ ” (Bird v. Saenz (2002) 28 Cal.4th 910, 921.)

4. ANALYSIS

Mother and Father testified that they were not aware the victim was struck by the polo ball until after the impact occurred. Mother and Father testified that they had to be told, after the impact, that the ball struck the victim in order to understand why the victim was crying. Mother asked others if the victim “had just fallen or gotten pushed over or if the ball had actually hit her.” When the victim cried, Father went over to the victim “to assess exactly what had happened. That’s when someone informed [Mother and Father] that the ball had hit her on the head.” In the TAC, the Family alleged Mother and Father heard the victim scream, and “[a] few minutes later, they also personally experienced the panic of watching the right side of [the victim’s] body go limp.”

Because Mother and Father did not have a contemporaneous awareness of the ball’s impact on the victim, their claim for negligent infliction of emotional distress fails. Awareness of the results of the impact is insufficient for liability. (Thing, supra, 48 Cal.3d at p. 669.) The trial court did not err by granting summary adjudication in favor of Eldorado and Desert Polo on Mother’s and Father’s cause of action for negligent infliction of emotional distress.

Mother and Father rely on Wilks v. Hom (1992) 2 Cal.App.4th 1264 to support their assertion that the trial court erred. In Wilks, a mother and her three daughters were at home. The mother was vacuuming in the living room along with one daughter, Janelle. Mother’s other two daughters, Jessica and Virginia, were in their respective bedrooms. (Id. at p. 1267.) The mother called to Virginia to unplug the vacuum. As Virginia unplugged the vacuum, there was an explosion. The mother and Janelle were blown out of the house. The mother tried to reenter the house but was repelled by the heat. She went to the side of the house and pulled Virginia and Jessica outside. (Ibid.) “Virginia died of her injuries several hours later. Jessica survived but was severely burned.” (Ibid.)

The appellate court considered whether the trial court erred in instructing the jury on liability to a bystander who observes another person being injured. (Wilks v. Hom, supra, 2 Cal.App.4th at p. 1268.) The trial court’s instruction “required that the [mother] be ‘present at the scene of the accident at the time it occurred’ and be ‘aware that such accident caused the injury to Jessica.’ Notable [was] the omission of a requirement that the [mother] actually ‘witness’ the injury to Jessica as and when it occurred.” (Id. at p. 1272.)

The appellate court wrote, “[W]e conclude it is not necessary that a plaintiff bystander actually have witnessed the infliction of injury to her child, provided that the plaintiff was at the scene of the accident and was sensorially aware, in some important way, of the accident and the necessarily inflicted injury to her child. Here, although [the mother] could not visually witness the infliction of injuries to Jessica, she was most evidently present at the scene of the accident, was personally impressed by the explosion at the same instant damage was done to her child, and instantly knew of the likely severe damage to the child.” (Wilks v. Hom, supra, 2 Cal.App.4th at p. 1268.)

The instant case differs from Wilks. In Wilks, the mother knew her children were in a house that just exploded. The mother personally experienced the explosion at the same instant as her children. The mother did not need to ask another person what occurred or be told by another person what happened to her children. The mother knew her children were injured from her first-hand experience of the explosion. In the instant case, Mother and Father had to be told by another person what happened to the victim. Mother and Father did not personally experience the ball striking the victim. Rather, Mother and Father were quickly aware of the results of the ball impacting the victim. Accordingly, because Mother and Father did not contemporaneously sense the ball impacting the victim, we conclude the trial court did not err.

B. NEGLIGENCE AND PREMISES LIABILITY

1. CONTENTION

The Family contends the trial court erred by granting summary judgment in favor of Desert Polo on the negligence and premises liability causes of action.

2. STANDARD OF REVIEW

“Review of a summary judgment motion by an appellate court involves application of the same three-step process required of the trial court. [Citation.] ‘First, we identify the issues framed by the pleadings since it is these allegations to which the motion must respond by establishing a complete defense or otherwise showing there is no factual basis for relief on any theory reasonably contemplated by the opponent’s pleading. [Citations.] [¶] Secondly, we determine whether the moving party’s showing has established facts which negate the opponent’s claim and justify a judgment in [the] movant’s favor. [Citations.] . . . [¶] When a summary judgment motion prima facie justifies a judgment, the third and final step is to determine whether the opposition demonstrates the existence of [a] triable, material factual issue.’ ” (Hansra v. Superior Court (1992) 7 Cal.App.4th 630, 638.)

3. LAW

“The elements of a negligence claim and a premises liability claim are the same: a legal duty of care, breach of that duty, and proximate cause resulting in injury. [Citations.] Premises liability ‘ “is grounded in the possession of the premises and the attendant right to control and manage the premises” ’; accordingly, “ ‘mere possession with its attendant right to control conditions on the premises is a sufficient basis for the imposition of an affirmative duty to act.” ’ [Citation.] But the duty arising from possession and control of property is adherence to the same standard of care that applies in negligence cases.” (Kesner v. Superior Court (2016) 1 Cal.5th 1132, 1158.)

Civil Code section 1714, subdivision (a), provides, “Everyone is responsible, not only for the result of his or her willful acts, but also for an injury occasioned to another by his or her want of ordinary care or skill in the management of his or her property . . . ” “ ‘A lessor who leases property for a purpose involving the admission of the public is under a duty to see that it is safe for the purposes intended, and to exercise reasonable care to inspect and repair the premises before possession is transferred so as to prevent any unreasonable risk of harm to the public who may enter.’ ” (Portillo v. Aiassa (1994) 27 Cal.App.4th 1128, 1134 (Portillo).)

“Where there is a duty to exercise reasonable care in the inspection of premises for dangerous conditions, the lack of awareness of the dangerous condition does not generally preclude liability. [Citation.] ‘Although liability might easily be found where the landowner has actual knowledge of the dangerous condition “[t]he landowner’s lack of knowledge of the dangerous condition is not a defense. He has an affirmative duty to exercise ordinary care to keep the premises in a reasonably safe condition, and therefore must inspect them or take other proper means to ascertain their condition. And if, by the exercise of reasonable care, he would have discovered the dangerous condition, he is liable.” ’ ” (Portillo, supra, 27 Cal.App.4th at p. 1134.)

“Frequently, situations arise where injury results from [an] activity of the lessee upon premises which, by reason of some defect, are not reasonably suitable for such conduct. When this occurs, the lessor may be held liable, not for the fault of the lessee, but only for his own fault in renting property not safe for the activity to be conducted. A recent example of this type of situation involved liability of the owner of a fairgrounds for injuries suffered by a spectator at a ‘hot rod’ race being conducted by its licensee. [Citation.] The petition alleged that the barriers and guards upon the premises were unsuitable for such purposes and that the plaintiff was injured by a wheel which became detached from one of the racing cars. The appellate court reversed an order sustaining a motion to dismiss the petition. It agreed that the landlord could not be liable for negligence in the operation of the race, but held that the corporation owed a duty to see that the premises were reasonably suited to the activity to be conducted.

“In Larson v. Calder’s Park Co., 54 Utah 325, the plaintiff was injured by a bullet from a shooting gallery. The evidence disclosed that the walls of the rented building in which the business was conducted were dilapidated and contained large holes and cracks through which bullets could escape. This condition existed at the time of the lease. The lessor was held liable for the defective condition of the walls which rendered the building unsafe for the operation of a shooting gallery. Here, again, liability was predicated upon the condition of the property leased, not the fault of the lessee in operating the property.” (Goodman v. Harris (1953) 40 Cal.2d 254, 264-265.)

4. TAC

In the introductory “parties” section of the TAC, the Family wrote, “[The Family] hereinafter collectively refer[s] to Eldorado, Goldenvoice, Desert Polo, and Defendant Does 2 through 20 as ‘Eldorado Defendants’ or ‘Eldorado.’” In other words, the Family bundled together its allegations against Eldorado and Desert Polo as though the two defendants were one.

In its factual allegations, the Family alleged (1) “Eldorado was aware of the risk that a polo ball could fly into its social gathering and spectator areas” because “Eldorado’s Polo Manager witnessed polo balls cross the sidelines ‘all the time’ ”; (2) despite its knowledge of errant polo balls, “Eldorado established, designed, set up, and managed its public parking and picnicking areas in a manner that encouraged socializing, rather than polo spectating, creating major risks to social guests who, like [the Family], had no clue that they were at risk for any injuries”; (3) Eldorado failed to post warning signs; (4) Eldorado created “an insufficient ‘safety zone’ that was far too close to the playing field”; and (5) Eldorado failed to erect any nets or other barriers that would stop an errant polo ball from striking bystanders.

Within the premises liability cause of action, the Family alleges, “The Eldorado Defendants breached their duty to own, rent, lease, manage, supervise, operate, secure, maintain, inspect, repair, design and control the Subject Premises so as to minimize the risks of harm to spectators, social guests, and invitees such as [the Family].”

5. ANALYSIS: ALLEGATIONS

a. Factual Allegations

One of the problems in this case is that the Family did a poor job of pleading the facts relevant to Desert Polo. The Family mixed together the factual allegations for Desert Polo and Eldorado, and primarily focused on the facts that are relevant to Eldorado, as the operator of the field. For example, the Family’s factual allegations primarily focus on the condition of the field on the date of the incident. The Family alleges the safety zone was inadequate on the date of the incident. Those allegations are more relevant to Eldorado than Desert Polo. (See generally Nalwa v. Cedar Fair, L.P. (2012) 55 Cal.4th 1148, 1162 [operators have a duty not to unreasonably increase the inherent risks of harm in a sport].)

The Family does not provide factual allegations concerning the condition of the field at the time it was leased in 2013; what Desert Polo knew at the time of the lease in 2013; or what inspections, if any, were conducted by Desert Polo. In other words, there are few factual allegations concerning what acts or omissions were made by Desert Polo.

b. Legal Allegations

The Family does make legal allegations that are relevant to Desert Polo. In particular, the Family alleges Desert Polo breached its duty in owning, leasing, inspecting, and repairing the field. Although the allegations are minimal, they can be understood as alleging that Desert Polo (1) was negligent in assessing whether the field was suitable for polo matches; (2) failed to exercise reasonable care in inspecting the field prior to leasing it to Eldorado; and/or (3) failed to exercise reasonable care in making repairs to the field prior to leasing it to Eldorado. (See generally Youngman v. Nevada Irr. Dist. (1969) 70 Cal.2d 240, 245 [a complaint should “acquaint a defendant with the nature, source and extent of [the] cause of action”]; also see generally Okun v. Superior Court (1981) 29 Cal.3d 442, 458 [pleading should give “notice of the issues sufficient to enable preparation of a defense”].)

6. ANALYSIS: DESERT POLO’S MOTION

a. Evidence

The evidence provided by Desert Polo in support of its motion includes: (1) Eldorado’s lease, dated May 31, 2013, with a lease term of seven years; (2) two photographs of the field; (3) a diagram of the field on the date of the incident; (4) a partial deposition transcript of Debbie Morrison who authenticated a photograph from the day before or after the incident; (5) the declaration of attorney Ladell Hulet Muhlestein, who asserted various exhibits were true and correct copies; (6) a partial transcript of Father’s deposition; (7) a partial transcript of Mother’s deposition; (8) a partial transcript of the deposition of James Joseph A’Court, who is Eldorado’s marketing and events director, and who described Eldorado’s polo schedule, game attendance, and lack of interaction with Desert Polo; (9) Father’s responses to Desert Polo’s special interrogatories; (10) Mother’s responses to Desert Polo’s special interrogatories; (11) Petersen’s March 2, 2016, request for judicial notice in support of his demurrer, reflecting polo is an active sport involving striking a ball with mallets toward the opposing team’s goal; (12) a reporter’s transcript of the hearing on Petersen’s demurrer, in which the court granted the request for judicial notice; (13) Petersen’s May 19, 2016, request for judicial notice in support of his demurrer; (14) the trial court’s tentative ruling on Petersen’s demurrer and ruling on his request for judicial notice; and (15) the trial court’s ruling on Petersen’s demurrer.

Another item of evidence provided by Desert Polo was the declaration of James Paige (Paige), “an authorized representative of Desert Polo.” Paige asserted the exhibits were true and correct copies. Paige also declared that Eldorado “is solely responsible for maintenance of the premises, in accordance with the lease.” Paige explained that Eldorado “is exclusively responsible for polo operations on the property, and Desert Polo Land is exclusively responsible for [the] operation of music festivals on the property, in accordance with the lease.” Paige declared, “Desert Polo Land has no role in connection with polo events held on the leased premises, including the polo match in which plaintiffs allege they were injured. Desert Polo Land is merely the lessor of an empty field and club house to Eldorado Polo Club.”

b. Analysis

Desert Polo’s evidence goes toward defeating the factual allegations, which are more relevant to the Family’s cause of action against Eldorado. For example, Desert Polo provides evidence that it did not control the placement of warning signs on the date of the injury. That evidence provides little insight into what Desert Polo knew when it leased the field to Eldorado. (Portillo, supra, 27 Cal.App.4th at p. 1134 [“ ‘ “A lessor who leases property involving the admission of the public is under a duty to see that it is safe for the purposes intended, and to exercise reasonable care to inspect and repair the premises before possession is transferred” ’ ”].) While addressing the factual allegations, Desert Polo’s evidence fails to address the legal allegations that it was negligent.

Because Desert Polo’s evidence does not address the legal allegations, Desert Polo has failed to demonstrate that it was not negligent. For example, Desert Polo has not provided evidence showing (1) what it knew about the field’s suitability for polo matches at the time of leasing the field; (2) what inspections, if any, it conducted; and (3) what repairs, if any, it made to the field. Due to Desert Polo’s failure to provide evidence reflecting it was not negligent in leasing, inspecting, and repairing the field, we must conclude the trial court erred in granting summary judgment on the negligence and premises liability causes of action.

At oral argument in this court, Desert Polo asserted that liability for its leasing activity was not argued in the trial court and therefore cannot be a basis for reversing the judgment. On summary judgment the moving party “bears the burden of furnishing supporting documents that establish that the claims of the adverse party are entirely without merit on any legal theory.” (Lipson v. Superior Court (1982) 31 Cal.3d 362, 374.) As set forth ante, in the TAC, the Family alleged, “The Eldorado Defendants breached their duty to own, rent, lease, . . . the Subject Premises so as to minimize the risk of harm to spectators, social guests, and invitees such as Plaintiffs.” Fault in leasing was explicitly alleged in the TAC. If, as Desert Polo asserts, leasing was not addressed in Desert Polo’s motion for summary judgment, then the trial court erred by granting summary judgment because Desert Polo failed to “establish that the claims of the adverse party are entirely without merit on any legal theory,” given that liability based upon leasing was explicitly alleged in the TAC. (Id. at p. 374.)

Desert Polo contends the trial court properly granted summary judgment because Desert Polo had no duty to protect the victim from being struck by a polo ball. Desert Polo’s argument is again directed at the factual allegations that are more relevant to the claim against Eldorado. If Desert Polo is found to be liable in this case, it will be for (1) Desert Polo’s decision to lease the field for the purpose of polo matches that are open to the public, when it knew the field was not reasonably suited to that use; (2) Desert Polo’s failure to exercise reasonable care in inspecting the field prior to leasing it; (3) Desert Polo’s failure to exercise reasonable care in repairing the field prior to leasing it; and/or (4) Desert Polo’s decision to ignore a dangerous condition on the property, after the property was leased, when Desert Polo was aware of the dangerous condition. (Portillo, supra, 27 Cal.App.4th at p. 1134 [“ ‘ “A lessor who leases property involving the admission of the public is under a duty to see that it is safe for the purposes intended, and to exercise reasonable care to inspect and repair the premises before possession is transferred” ’ ”]; Martinez v. Bank of America Nat. Trust & Sav. Assn. (2000) 82 Cal.App.4th 883, 892 [landlord who knows of dangerous condition and has the right to cure the condition has a duty to cure it].)

Desert Polo contends the trial court properly granted summary judgment because the Family’s claim is barred by primary assumption of the risk. Primary assumption of the risk operates to eliminate or limit the duty of care owed by the defendant due to the nature of the sport and the defendant’s relationship to the sport. (Knight v. Jewett (1992) 3 Cal.4th 296, 316-317.) For example, if a baseball spectator is injured by a carelessly thrown bat at a baseball game, under the primary assumption of the risk doctrine the player would not have a duty toward the spectator because imposing a duty of care could chill the player’s vigorous participation in the game; however, the stadium operator could be liable due to its failure to provide protection from flying bats. (Id. at p. 317.)

In the instant case, primary assumption of the risk will not resolve the issue of duty. As explained ante, Desert Polo had the duties to (1) not lease the field if it were unsuitable for polo matches; (2) to exercise reasonable care in inspecting the field prior to leasing it; (3) to exercise reasonable care in repairing the field prior to leasing it; and (4) to repair any problems at the field that Desert Polo became aware of after leasing the field. The primary assumption of the risk doctrine is relevant to defendants who have a role to play in sporting activities. The doctrine does not cancel out Desert Polo’s various duties that existed in leasing the field to Eldorado in 2013 because leasing the field is not a sporting activity. It is possible Desert Polo could argue secondary assumption of the risk, which involves application of the doctrine of comparative fault (Kahn v. East Side Union High School Dist. (2003) 31 Cal.4th 990, 1003); however, we are not persuaded that primary assumption of the risk results in Desert Polo not having a duty of care in this case.

The trial court granted the motion for summary judgment after finding Desert Polo had no knowledge of a dangerous condition at the field because Desert Polo “was a lessor of unimproved real estate.” We infer that the trial court’s finding is based upon Paige’s declaration that “Desert Polo Land is merely the lessor of an empty field and club house to Eldorado Polo Club.” We disagree with the trial court’s interpretation that the parcel was unimproved because Paige declared there was a club house on the property. Therefore, exactly what is meant by “an empty field” is unclear. Did it not have sideboards? Did it not have “safety zone” signs? Did it not have goals? Desert Polo has failed to provide evidence concerning the condition of the field at the time it was leased to Eldorado in 2013. Due to the lack of evidence concerning Desert Polo’s leasing, inspecting, and repairing of the field, we conclude the trial court erred by granting summary judgment.

DISPOSITION

The summary adjudication of the negligent infliction of emotional distress cause of action is affirmed as to Eldorado and Desert Polo. The summary judgment of the negligence and premises liability causes of action is reversed as to Desert Polo. Eldorado is awarded its costs on the Eldorado portion of the appeal. (Cal. Rules of Court, rule 8.278(a)(1).) The parties are to bear their own costs on the Desert Polo portion of the appeal. (Cal. Rules of Court, rule 8.278(a)(3).)

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

MILLER

J.

We concur:

McKINSTER

Acting P. J.

RAPHAEL

J.


MILTON MARVIN MAPP v. PATRICIA ANN WILLIAMS

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Filed 2/28/19 Marriage of Mapp and Williams CA1/2

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

FIRST APPELLATE DISTRICT

DIVISION TWO

In re the Marriage of MILTON MARVIN MAPP and PATRICIA ANN WILLIAMS.

MILTON MARVIN MAPP,

Respondent,

v.

PATRICIA ANN WILLIAMS,

Appellant.

A153058

(Alameda County

Super. Ct. No. HF17869737)

In July 2017, respondent Milton Mapp, by his conservators, petitioned for nullification of his October 2010 marriage to appellant Patricia Williams on the grounds of unsound mind and force. Following a hearing, the trial court granted the petition, finding that Mapp lacked the mental capacity to consent on the date of the marriage, a finding based in part on evidence that in 2007 he had been diagnosed with dementia and that as of September 2010 he was unable to make complex decisions and had “severe memory impairment.” Williams filed a motion for reconsideration, which the court denied. Williams appeals, and we affirm.

BACKGROUND

Preliminary Observations

California Rules of Court, rule 8.204 (rule 8.204) mandates that an appellant’s opening brief “[p]rovide a summary of the significant facts limited to matters in the record.” (Id., rule (a)(2)(C).) Despite this rule, Williams has filed an opening brief containing a statement of facts that consists in its entirety of the following paragraph: “The appellant and the respondent were married on October 28, 2010. At the time of the marriage, the respondent had been appointed a conservator, however, during the hearing to annul the marriage there was no direct evidence presented to suggest that the resident [sic] lacked the capacity to marry. [Citation.] The basis of the request to annul the marriage was presumably based on the fact that the respondent was a conservatee. The order nullifying was granted and Patricia Williams-Mapp is appealing. (Alameda County Court Order, dated 11/17/2017, case no. HF17869737). The appellant and the respondent had been married and/or living together for over 25 years. [Citation.] During the hearing to nullify the marriage, the court insinuated that the appellant was high or under the influence and the judge refused to hear any of the appellant’s witnesses, individual[s] who attended the wedding and could attest to the respondent’s state of mind. [Citation.] The conservators are attempting to annul the marriage in an effort to deny the appellant of her marital rights that were the result of a 25 year relationship.” This short synopsis fails to satisfy Williams’s obligation under rule 8.204(a)(2)(C).

That said, respondents’ brief hardly fares better. While their statement of facts is, at nearly four pages, more comprehensive than Williams’s, it contains a mere six record citations. This fails to comply with rule 8.204(a)(1)(C), which requires that each brief “[s]upport any reference to a matter in the record by a citation to the volume and page number of the record where the matter appears.” Where facts are unsupported by citation to the record, we are at liberty to disregard them. (Baron v. Fire Ins. Exchange (2007) 154 Cal.App.4th 1184, 1186, fn. 1.)

What follows is a proper summary of the factual and procedural background that is supported by the record.

Mapp’s Petition for Nullity of His Marriage to Williams

On July 31, 2017, a petition was filed on behalf of respondent Milton Mapp for nullity of his October 28, 2010 marriage to appellant Patricia Williams. The petition was filed by Winifred Cabiness and Brenda Woods, who were Mapp’s daughters and his conservators (sometimes collectively referred to as the conservators). The cited grounds for the petition were unsound mind and force.

Concurrent with the filing of the petition, Mapp, again through the conservators, filed a request for an order of nullity of voidable marriage based on unsound mind and force. The facts supporting the request were set forth in an attachment that represented the following:

In 2010, Cabiness and Woods had filed for a conservatorship of their father because they believed Williams was not properly caring for him. On October 12, 2010, they were appointed temporary conservators of his person and estate. In response to this, on October 28, Williams took Mapp to Reno and forced him to marry her.

On October 13, 2016, Cabiness received several telephone calls and messages from an adult protective services (APS) social worker, who informed Cabiness she had called the police so APS could gain entry into Mapp’s condominium. Once inside, the social worker had observed that Mapp was weak and disoriented, had not eaten in several days, and was thirsty and appeared to be dehydrated. The condominium was filthy, unsafe, and uninhabitable. The social worker had called an ambulance, and Mapp was taken to the hospital. She told the conservators she would not allow him to return to the condominium and asked them to take him to their home so they could care for him and keep him from further harm. That same day, Williams was arrested on charges of battery on a spouse and cruelty to an elder/dependent adult.

On June 16, 2017, Cabiness and Woods were appointed conservators of Mapp’s person, and Woods the conservator of Mapp’s estate.

Specifically as to the request for nullity based on unsound mind, the conservators represented that Mapp, who was 90-years-old, suffered from severe dementia, having been diagnosed with dementia in 2007, and was unable to properly provide for his health and personal needs, including food, clothing and shelter. According to the conservators, Williams had taken him to Reno “to marry him only to strengthen her position living in [his] house during the 2010 conservatorship proceedings.”

Appended to the attachment was a September 21, 2010 capacity declaration signed under penalty of perjury by Mapp’s doctor, Wilson Tse, M.D. Dr. Tse attested that Mapp was able to give basic consent to medical treatment but was not able to make complex decisions. He stated that Mapp suffered from dementia and had “severe memory impairment.” Also appended was an August 13, 2007 letter written by Dr. Tse and addressed to whom it may concern, in which he stated: “Mr. Mapp has been my regular patient for the past 6 years. He has had progressive memory loss over the years and becoming more significant in the past 2–3 years with signs and symptoms of dementia. He is getting ongoing follow-up and treatment [sic] but is at a stage where he needs assistance with managing his finances and other daily affairs. He also has other medical problems that require supervision.”

As to the request for nullity on the basis of force, the conservators stated that the marriage was “contracted against Milton’s will,” providing the following details:

“22. In October 2010, Milton was admitted to the emergency room for serious health issues. Because of those health issues, at the conclusion of his ER visit, Milton was told to return the next day. Instead of returning Milton to the hospital in accordance with medical advice, Respondent took Milton to Reno to marry him.

“23. Prior to the 2010 trip to Reno, Cabiness had just spent several hours with Milton at Kaiser ER, in Oakland, for observation as one of his legs was severely swollen. The ER doctor advised that he return first thing the next morning so the radiologist could examine and rule out complications, such as blood clots due to the swelling and poor circulation. Cabiness showed the ER report to Respondent and asked her if she felt the event that they were going to was more important than his health and well-being. Respondent replied very directly, ‘Oh this trip is important; we’ll take care of his leg when we get back’.

“24. Milton was under unbelievable influence to ignore such a serious health issue. He has had to wear compression socks to massage his legs due to poor heart pump and fluid pooling in his legs, so the ride seated in a car to Reno was a serious risk to his life.

“25. Milton was taken to Reno to get married without consenting to that marriage, and without the ability to resist that marriage.”

Williams’s Opposition to the Petition for Nullity

On August 17, 2017, Williams filed a form response to Mapp’s petition. She denied Mapp was of unsound mind or was forced into the marriage, further stating: “The respondent would like to point out to the court that the petitioner is (medically) unable to represent himself and his conservators are not attorneys, thus, this petition should be dismissed. Further, if the court allows this petition to stand, the respondent would point out that in October of 2010, petitioner’s doctor indicated that he (the petitioner) was capable of giving medical consent, therefore, there is no evidence that petitioner could not consent to marriage. The respondent and petitioner have been together for over 25 years and married for nearly 7 years. There has been no expert evidence, or any other evidence, offered by the conservators that indicate Milton Marvin Mapp did not consent to this marriage. However, presently, he does have dementia and does not understand these proceedings.”

In a supporting declaration, Williams testified: “[T]he marriage between the petitioner and respondent was valid, his doctor indicated that in 2010, petitioner was capable of giving basic consent. Petitioner’s conservators have offered no evidence to indicate an invalid marriage, just a non expert report from a doctor, that in fact indicates petitioner was capable of consenting to marriage in 2010. Presently, his dementia has worsened, making it impossible for him to request this order. This entire action must be dismissed, a man of unsound mind, cannot legally represent himself.”

Hearing on Mapp’s Petition

On October 5, 2017, Mapp’s petition came on for hearing. The court began by requesting any documents showing Mapp’s incapacity at the time of the marriage. Counsel for the conservators, who had substituted in a month before the hearing, identified Dr. Tse’s September 24, 2010 capacity declaration. The court queried why, if the conservators were temporary conservators in October 2010, the request for nullity was not brought until 2017. Counsel explained that once Williams took Mapp to Reno and married him, she told the conservators she was going to care for Mapp and “completely cut [them] off” from Mapp. Their temporary conservatorship expired in December 2010. Over the years since then, they had repeatedly contacted APS to figure out what was going on with their father, to no avail. In October 2016, however, APS received reports Mapp was being abused and obtained entry into his home, where they found that he was not being fed and was severely dehydrated, and the house was uninhabitable. As a result, Williams was arrested for battery against a spouse and cruelty to an elder, and Mapp went to live with his daughters, where he was still living at the time of the hearing. Cabiness and Woods were again appointed Mapp’s conservators in June 2017. Concerning the current state of his health, the conservators said he suffered from advanced dementia, Alzheimer’s, and a heart condition.

The court inquired of counsel what had occurred as a result of Williams’s arrest. She indicated that Mapp did not press charges, and she believed the case had been dismissed. At the court’s request, counsel produced an October 13, 2016 police report from the incident resulting in Mapp’s hospitalization, which the court summarized as follows: “According to the report, the police arrived on October 13th. They were investigating a claim of elder abuse. Initially, the Respondent, Ms. Williams, refused to let the officers speak with Mr. Mapp and initially refused to allow the officers to see the inside of the home to evaluate whether it was fit for Mr. Mapp to be living there. Ms. Williams admonished Mr. Mapp not to speak to the officers. Eventually, the officers did gain entry into the home, found that there was no place for Mr. Mapp to sleep. There was a mattress with no sheets, blankets or pillows. It appears . . . Ms. Williams was not cooking for Mr. Mapp. The home was extremely dirty, filled with trash. Mr. Mapp indicated that he was only being fed once a day. Based on communication the police had with Adult Protective Services, Ms. Williams had been physically abusive with Mr. Mapp. That the home was a health and safety hazard and that he needed to be removed. Ms. Williams was arrested for cruelty to an elder or dependent person, along with battery. Mr. Mapp was transported to the hospital and indicated he did not want to press charges against Ms. Williams. Officers noted that Ms. Williams does not permit Mr. Mapp’s daughters to see him.”

The court then turned to Williams and asked why she believed Mapp had the capacity to marry on October 28, 2010. Williams responded, “We had a significant discussion about the marriage. We had been together for at least 25 years. We were married, I would say, seven years.” The court asked her a follow-up question about the date of the marriage, and Williams responded that it was October 30. When a spectator in the courtroom interjected “September,” the following exchange occurred between the court and the spectator:

“THE COURT: Ma’am, you cannot speak.

“A SPECTATOR: Well, I was there, though.

“THE COURT: So, ma’am, if you can’t remain quiet, you’re going to have to step outside of the courtroom; do you understand?

“A SPECTATOR: Yes, I do. But I was trying to give you—

“THE COURT: Okay. Can you please escort her out of the courtroom.”

The spectator was then apparently escorted out of the courtroom without incident, and the court returned its attention to Williams, asking her when and how she and Mapp met. As Williams was describing how they met, the court interrupted her, and this exchange occurred:

“THE COURT: Ma’am could you look at me for a second.

“THE RESPONDENT: Okay.

“THE COURT: It looks like you’re having a hard time putting all your thoughts together. Are you under the influence of anything today?

“THE RESPONDENT: Oh, no.

“THE COURT: Have you been drinking at all today?

“THE RESPONDENT: Never. No.

“THE COURT: Do you have any medical condition that would make it difficult for you to articulate your thoughts here?

“THE RESPONDENT: Yes. Yes.

“THE COURT: Can you tell me what that is?

“THE RESPONDENT: I have a problem getting my words out, and it’s been from a slight ailment that I have—I have had. But it doesn’t affect my, you know, being with the gentleman.

“THE COURT: I just want to be sure. Are you able to understand everything I’m saying to you?

“THE RESPONDENT: Yes.

“THE COURT: And do you feel like you understand what’s happening in this proceeding?

“THE RESPONDENT: Yes. And I would like to say that Harry—I mean, Milton—and I have had a great relationship together. We’ve been together 25 years. We’ve established a lot. And I’ve helped him in a lot of incidents that have really happened between he and the daughters.”

The court asked Williams if she knew Mapp had been diagnosed with dementia by the time they got married. Williams responded, “He hadn’t—as a matter of fact, this diagnosis that—what’s his name?—Mr. Tse had written, this is a lot of good reports. These aren’t bad reports. These are good reports. They don’t have any reports on the neurologist, and that’s what really tells what the—what he really has. . . . He hadn’t seen none of those.” The court asked Williams whether she knew Mapp was under a conservatorship when they got married, and she responded that she did not think he was. Asked specifically about Dr. Tse’s September 2010 capacity declaration indicating Mapp was, as of September 2010, incapable of making complex decisions, Williams reiterated that it was a “good report” because it established Mapp had the necessary cognitive ability to decide to get married. Asked why she believed that, Williams answered, “He was the main person of his home. He was the person who provided me with what I needed in order to help him. He was the person that did mostly everything.”

The court asked Williams whose idea it was to get married, and she said it was Mapp’s idea. She described how they traveled to Reno in a car with Joyce Gonzales (apparently the spectator who had been escorted out of the courtroom) and Eugene Mapp (Mapp’s brother). At the time they married, Mapp was 82 or 83, and Williams was 58.

The court asked Williams if she had any other information she could share supporting her belief that Mapp had the capacity on October 28, 2010 to get married. When Williams responded by mentioning Mapp’s first wife and daughters, the court interrupted her to reiterate its question, which Williams then answered this way: “Well, I have a lot that I could add to the funeral—I mean, to this petition. But nullity, ‘If a nullity proceeding is not commenced within the appropriate time period, the marriage remain [sic] valid and is no longer subject to a judgment of nullity on these grounds. [¶] To have a sound mine [sic], there is a rebuttable person [sic] have the capacity to make the decision to marry. [¶] And force is a party whose consent to a marriage was obtained by force, may bring a nullity proceeding within four years after the marriage.’ And all of that has taken place and it’s been already four years have passed and all the other—five years that’s passed.”

Counsel for the conservators advised the court that Williams was present at the conservatorship hearings and was thus aware in 2010 that a conservatorship had been granted.

The trial court then granted Mapp’s request for nullity of his marriage to Williams, providing the following reasons:

“So the court grants the Petitioner’s request for nullity, and the court finds that the grounds have been met under Section 2210, sub part A,[ ] that this has been brought on behalf of Mr. Mapp.

“And the court finds, based on a number of factors and information that has been provided, that Mr. Mapp was of unsound mind to enter into marriage in October of 2010. This includes his dementia and his inability to make complex decisions that had been determined by a physician the month prior, in September of 2010, the conservatorship that was already put in place by then.

“Added to the fact—his advanced age, in and of itself, is irrelevant to the determination; but when looked in concert with that, and the fact that he was in the process of getting medical treatment when that treatment ceased, and he was removed for the purposes of the marriage, all of those things together indicate to the court that he did not have the adequate capacity to enter into marriage in 2010.

“Furthermore, there is nothing that indicates that he has regained capacity and elected to remain in the marriage since then. Dementia tends to be a continuing debilitative condition; it does not get better as someone gets older. If you add Alzheimer’s on to that, and then particularly when the court takes into consideration the law enforcement report from when Mr. Mapp was removed from the home in 2010,[ ] it is clear that he was not only in really deplorable conditions at that time and was not being cared for, but that he did not have the capacity to be able to stand up for himself at that point to get the help that he really desperately needed. So the court will grant the nullity.”

Williams’s Motion for Reconsideration

On October 18, Williams filed a motion for reconsideration of the court’s order pursuant to Code of Civil Procedure section 1008. The motion provided this claimed basis for reconsideration: “There was no expert testimony by any medical providers, and the court apparently assumed that the respondent was under the influence of alcohol and/or drugs, thus not having any credibility in respondent’s testimony. Further, the court ejected respondent’s witness from the court and said witness was unable to testify to the fact that she witnessed the marriage and could offer testimony that was [sic] of sound mind when the wedding ceremony took place. Also, petitioner’s brother was a witness at the marriage and the respondent could not locate him until after
October 5, 2017. Petitioner’s brother is also prepared to offer testimony as to his brother’s state of mind at the time of the wedding. Respondent would also like to point out a fact that she believes the court overlooked, that the medical records submitted did indicate that the petitioner was capable of consenting to medical treatment, therefore, it should be assumed that he was capable of consenting to marriage.”

In support, Williams submitted a declaration attesting as follows:

“2. I believe that the court did not view my testimony as credible because the court thought that I may have been under the influence of drugs or alcohol. I was not under the influence of any substance. I attach a copy of a recent drug screening.

“3. The court ejected my witness, who attended the wedding of the petitioner and me.

“4. I just recently located another witness who attended the ceremony, the petitioner’s brother.

“5. I am seeking to obtain medical proof that the petitioner was capable of consenting to marriage on the date we were married.”

On November 2, the conservators filed a response to Williams’ motion. They argued she had not offered any new evidence, facts, circumstances, or law that was not already presented at the hearing on October 5. They explained that the court’s decision was based primarily on the fact that they were Mapp’s conservators at the time of the marriage and on Dr. Tse’s capacity declaration that indicated Mapp suffered from severe dementia, was only able to give basic consent regarding medical treatment, and was not of sound mind at the time of the marriage. They also noted that the court had heard testimony that Mapp had been treated in the emergency room for serious health issues the day before the marriage took place and had been instructed to return the following day, but instead Williams risked his life by taking him on a long car ride to Reno. And on October 13, 2016, APS had intervened and found Mapp in an uninhabitable apartment having not eaten for several days, resulting in Williams’ arrest on charges of battery on a spouse and cruelty to an elder/dependent adult.

The conservators argued that Williams had an opportunity to address the relevant events at the October 5 hearing. Instead, when asked whether she was aware the conservatorship was in place at the time of the marriage, she “committed perjury by answering in the negative, despite the fact that she both opposed the conservatorship and appeared at the hearing.” Additionally, they argued that throughout the hearing, Williams’s witness constantly stood up from the audience and attempted to coach Williams on her testimony, interrupting the proceedings to the point that she was ejected from the courtroom.

Finally, the conservators noted that while Williams was attempting to provide testimony from individuals who were present during the wedding, none of the witnesses was a medical expert who could contradict Dr. Tse’s capacity declaration.

Hearing on Williams’s Motion for Reconsideration

On November 16, 2017, Williams’s motion came on for hearing. The hearing was extremely brief, with the court asking at the outset if anyone had anything to offer beyond what was in the papers. While counsel for the conservators said she did not, Williams indicated she would like to say “certain things on the matter.” She was unable to articulate a coherent position, however, and the court, after making several attempts to understand what she was trying to convey, told her, “Ma’am, what I will tell you, unless you have something fundamentally different to offer than what you offered before—and I’ve reviewed what you have filed and I do not see it. When the Court heard this case before, I was deeply troubled by the gross acts of abuse and neglect that occurred. I’m really quite surprised at this point that there has not been a criminal investigation. [¶] So I have no intention at this juncture of reversing the orders that I previously made. I’m quite surprised, actually, that you filed a motion for reconsideration.”

With that, the hearing concluded, and the following day the court entered a judgment of nullity based on unsound mind.

Williams filed a timely notice of appeal.

DISCUSSION

Applicable Law and Standard of Review

Family Code section 2210 provides that a marriage is voidable and may be adjudged a nullity if one of six conditions existed at the time of the marriage, including that “Either party was of unsound mind, unless the party of unsound mind, after coming to reason, freely cohabited with the other as his or her spouse.” (Fam. Code, § 2210, subd. (c).)

As to the applicable standard of review, Williams contends we are to review an order of nullity for an abuse of discretion, generically claiming that “[a] trial court’s decision to grant or deny orders is reviewed for abuse of discretion.” In support, she cites a myriad of cases, none of which concerns an order granting (or denying) a petition for nullity of a marriage. The conservators apparently agree with Williams, as they argue the trial court did not abuse its discretion in granting Mapp’s petition. They cite no authority, however, confirming that that is the applicable standard of review.

In fact, courts typically review such orders for substantial evidence. (See, e.g.,
In re Marriage of Ramirez (2008) 165 Cal.App.4th 751, 756 [“We review the judgment of nullity or a decision regarding the validity of a marriage under the substantial evidence standard of review”], overturned on other grounds in Ceja v. Rudolph & Sletten, Inc. (2013) 56 Cal.4th 1113, 1126; In re Marriage of Liu (1987) 197 Cal.App.3d 143, 155 [rejecting appellant’s claim that judgment annulling her marriage was not supported by substantial evidence]; Patillo v. Norris (1976) 65 Cal.App.3d 209, 216 [“The question is whether there is substantial evidence to support the trial court’s finding”].) And where the facts in a given case are undisputed, application of Family Code section 2210 to those facts presents a pure question of law subject to de novo review. (In re Marriage of Seaton (2011) 200 Cal.App.4th 800, 806; Eisenberg et al., Cal. Practice Guide: Civil Appeals and Writs (The Rutter Group 2018) ¶ 8.146.10, p. 8-125.)

Consistent with the foregoing authorities, we apply the substantial evidence standard here.

Substantial Evidence Supports the Trial Court’s Finding that Mapp Was of Unsound Mind at the Time of the Marriage

“Substantial evidence is evidence that a rational trier of fact could find to be reasonable, credible, and of solid value. We view the evidence in the light most favorable to the judgment and accept as true all evidence tending to support the judgment, including all facts that reasonably can be deduced from the evidence. The evidence is sufficient to support a factual finding only if an examination of the entire record viewed in this light discloses substantial evidence to support the finding.”
(Pedro v. City of Los Angeles (2014) 229 Cal.App.4th 87, 99; Goldman v. Goldman (1959) 169 Cal.App.2d 103, 108–109.) We easily conclude the trial court’s finding is supported by evidence that is “reasonable, credible, and of solid value.” That evidence includes Dr. Tse’s August 2007 letter stating that Mapp suffered from dementia; his September 2010 capacity report finding that Mapp suffered from “severe memory impairment” and lacked the ability to make complex decisions; and testimony that Mapp was suffering from a serious medical condition the day before the marriage and was advised to return the following day for further treatment but was instead driven to Reno to get married. All of this demonstrated that while Mapp may have had the capacity to consent to basic medical treatment, as Dr. Tse opined, he lacked the mental capacity to consent to something as significant and complex as marriage, that is, “to understand the nature of the marriage contract, its duties and responsibilities.” (Goldman v. Goldman, supra, at p. 108.)

Williams’s argument to the contrary is, like her statement of facts, brief. At just over one page, it reads in its entirety as follows: “In this case, even though the respondent was a conservatee, he retained his right to marry. Probate Code Section 1900 states that: ‘The appointment of a conservator of the person or estate both does not affect the capacity of the conservatee to marry or to enter into a registered domestic partnership’. Thus, the presumption is that the conservatee has the capacity to get married. Further, Section 2352.5 of the Probate Code strictly prohibits the conservator from withholding the consent of the conservatee to get married. In this case the court did not consider any direct evidence that the conservatee lacked the capacity to get married. In fact, the appellant was prepared to present eye witness testimony from the conservatee’s family and friends that he entered into the marriage knowingly and intelligently and was of sound mind on the day of the wedding. [Citation.] However, for some unknown reason, the court refused to allow the appellant to present any witnesses or testimony that the respondent had the capacity to marry. [Citation.] Further, the court relied on hearsay evidence with regard to the respondent’s state of mind. In this case, the conservator’s [sic] were duty bound to overcome the presumption of a valid marriage by clear and convincing evidence that Mr. Mapp lacked the capacity to get married. The mere fact that Mr. Mapp was under a conservatorship is not enough. Direct medical testimony should have been heard, along with the appellant’s witnesses, who attended the wedding.” None of these arguments has merit.

First, Williams contends that the trial court improperly granted the petition on the ground that Mapp was subject to a conservatorship at the time of the marriage. She cites Probate Code section 1900, which provides: “The appointment of a conservator of the person or estate both does not affect the capacity of the conservatee to marry or to enter into a registered domestic partnership.” While this is a correct statement of the law, it has no bearing here, where the court stated in its oral ruling and in the judgment that it was granting the petition on the ground that Mapp was of unsound mind at the time of the marriage.

Second, Williams claims the trial court “did not consider any direct evidence that the conservatee lacked the capacity to get married.” This is contradicted by the record, in which it is clear that the court had before it Dr. Tse’s 2007 letter stating that Mapp “has had progressive memory loss over the years and becoming more significant in the past
2-3 years with signs and symptoms of dementia,” and his September 2010 capacity report in which he stated that Mapp suffered from “severe memory impairment” and lacked the ability to make complex decisions. Williams does not explain how this is not “direct evidence,” and she offered no medical opinion to the contrary.

Third, Williams argues that “for some unknown reason, the court refused to allow the appellant to present any witnesses or testimony that the respondent had the capacity to marry.” Again, it is clear from the record this was not the case. The court questioned Williams at length about her relationship with Mapp, their marriage, what she knew about the 2010 conservatorship and when she knew it, what she knew about Mapp’s mental health at the time of the marriage, the basis for her belief that Dr. Tse’s capacity declaration was a “good report,” and the basis for her belief that Mapp was of sound mind at the time of their marriage. The court also specifically asked Williams if she had “any other information” she could share with the court about why she believed Mapp had the mental capacity to consent to marriage on October 28, 2010.

Additionally, the trial court did not preclude Williams from presenting the testimony of any witnesses. During the October 5 hearing, a spectator—apparently, Joyce Gonzales—who was improperly injecting herself into the hearing was removed from the courtroom when she continued to speak after a warning by the court to remain quiet. If this was a witness Williams intended to call during the hearing, she should have raised this issue with the court. At no time during the hearing, however, did she tell the court she wanted to call a witness, despite the court’s express request for “any other information” regarding Mapp’s mental capacity on October 28, 2010.

Fourth, Williams claims the trial court “relied on hearsay evidence with regard to the respondent’s state of mind.” She does not identify what evidence she is referring to, and she asserted no hearsay objection below, thus forfeiting this argument on appeal. (Stenseth v. Wells Fargo Bank (1995) 41 Cal.App.4th 457, 462 [“[I]n order to raise the issue of the admissibility of evidence, a party must make a timely objection on a specific ground”]; People v. Smith (1986) 180 Cal.App.3d 72, 79 [“An appellate court is precluded from reviewing questions concerning the admissibility of evidence for the first time on appeal”]; Evid. Code, § 353.)

Williams asserts in her statement of facts that “the court insinuated that [she] was high or under the influence . . . .” While not raised as an issue in her argument section, we nevertheless address it to confirm that the court did no such thing. Rather, observing that Williams was having difficulty expressing herself, the court “just want[ed] to be sure” she was “able to understand everything [the court] was saying . . . .” Accordingly, it asked if she was “under the influence of anything” or whether she had a medical condition that was making it hard to articulate her thoughts. When she said no to the former and yes to the latter, the court inquired if she understood everything it was saying and everything that was happening in the proceeding. When Williams confirmed that she did, the court returned to the issue of the evidence regarding Mapp’s mental capacity. The court’s questioning was proper.

Finally, to the extent Williams contends the court erred in denying her motion for reconsideration, she failed to demonstrate any grounds for reconsideration pursuant to Code of Civil Procedure section 1008. While she claimed below to have located a new witness (apparently, Mapp’s brother) and was seeking medical evidence that Mapp was of sound mind when they married, this was not new evidence that did not exist at the time of the October 5 hearing.

DISPOSITION

The judgment of nullity of marriage is affirmed.

_________________________

Richman, J.

We concur:

_________________________

Kline, P. J.

_________________________

Stewart, J.

Mapp v. Williams (A153058)

MARK MCLAIN v. STATE PERSONNEL BOARD

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Filed 2/28/19 McLain v. State Personnel Bd. CA4/1

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

COURT OF APPEAL, FOURTH APPELLATE DISTRICT

DIVISION ONE

STATE OF CALIFORNIA

MARK MCLAIN,

Plaintiff and Appellant,

v.

STATE PERSONNEL BOARD,

Defendant and Respondent;

DEPARTMENT OF CORRECTIONS AND REHABILITATION,

Real Party in Interest and Respondent.

D074715

(Super. Ct. No. CIVDS1605772)

APPEAL from a judgment of the Superior Court of San Bernardino County, Gilbert G. Ochoa, Judge. Affirmed.

California Correctional Peace Officers Association and Chris Uyemura for Plaintiff and Appellant.

Janie Hickok Siess and Patricia A. Chapman, for Real Party in Interest and Respondent Department of Corrections and Rehabilitation.

No appearance for Defendant and Respondent State Personnel Board.

Plaintiff Mark McLain contends respondent the State Personnel Board (Board) prejudicially abused its discretion when it upheld his dismissal as a correctional officer (CO) of real party in interest and respondent California Department of Corrections and Rehabilitation (CDCR). Plaintiff contends that CDCR failed to prove he made a threatening statement to a supervisor about another CO, who had accused plaintiff of handing-off contraband to an inmate. Specifically, he contends the Board’s finding he made the threatening statement is not supported by substantial evidence and the Board, in any event, failed to properly apply the various Skelly factors in sustaining his dismissal.

As we explain, we conclude that substantial evidence supports the finding plaintiff made a statement that constituted a “threat” as defined in the CDCR Operations Manual, portions of which were included in the administrative record (Manual). We also conclude the Board properly exercised its discretion in sustaining plaintiff’s dismissal from his CO position with CDCR. Affirmed.

OVERVIEW

At all times mentioned, plaintiff was a civil service employee of the State of California (State), holding and occupying the position of CO since April 1996. CDCR was plaintiff’s appointing power. At the time of his dismissal, plaintiff was working at California Institution for Men (CIM) in Chino.

A. Notice of Adverse Action (NAA)

In early January 2014, CDCR issued the NAA pursuant to Government Code section 19574. CDCR alleged plaintiff engaged in the following misconduct:

1) On January 2, 2013, plaintiff left his post at Facility D and walked over to Facility B, where he met inmate Joseph E. Before leaving his assigned work-area, plaintiff “failed to inform [his] supervisor” or “anyone up the chain of [his] command,” as required by the “post orders” for Facility D.

2) On January 2, after arriving at Facility B, CO David Montanez observed plaintiff handing inmate Joseph a “brown paper bag,” which the inmate placed under his shirt. Montanez followed Joseph as he walked to a locker room — identified as

Room 1 — located in the main corridor of Facility B, and watched him remove the bag from under his shirt and place it in a “black locker,” which Joseph then locked. Montanez ordered Joseph to stop, but the inmate left Room 1. Montanez, with the assistance of CO Robert Mahan, locked Room 1. After Room 1 was secured, Montanez, with the assistance of Lieutenant (and then-acting Captain) Todd Thomas, searched Room 1. Lieutenant Jason Lamboy, who joined the search, found a bag of tobacco in a locker in Room 1 (sometimes, tobacco incident). Applicable regulations define “contraband” as “anything which is not permitted, or received or obtained from an unauthorized source” (Cal. Code Regs. tit. 15, § 3000).

3) On or about January 24, plaintiff worked third watch at CIM. After the shift ended, plaintiff asked CDCR sergeant Jesus Borbon for a ride home. During the ride home, they spoke about the January 2 tobacco incident involving inmate Joseph. Plaintiff claimed the brown paper bag he handed Joseph “contained tennis shoes or words to that effect.” Plaintiff, who knew Borbon and Montanez were friends, stated, “If I lose my job [over the tobacco incident], Montanez better watch his back, or words to that effect.”

4) On March 21, special agents interviewed plaintiff at CDCR’s Office of Internal Affairs (OIA). In connection with the interview, plaintiff was instructed to be “truthful and to give complete responses to all questions,” which plaintiff acknowledged. During the interview, plaintiff made the following representations: “A. You [i.e., plaintiff] were asked the question: ‘And when you first walked out of R&R [i.e., receiving and release], and you and Inmate [Joseph], did you hand him a brown paper bag?’ You answered ‘I did not. No sir.’ [¶] B. You also denied providing contraband to [Joseph] when you stated the following: ‘I never introduced contraband never[,]’ or words to that effect. [¶] C. You were asked if you told Borbon ‘how about that he (Montanez) better watch his back, you never made that statement?’ You answered ‘No Sir.’ ”

5) In December 2012, plaintiff was assigned to Facility D. The post orders for Facility D required that orders be read at least once each calendar month. Plaintiff assumed the post for Facility D, but failed to read the post orders prior to assuming that post, and failed to sign the acknowledgment form indicating he had read such orders.

6) In October or November 2012, plaintiff applied for a business license for a recording studio located in Riverside. Plaintiff received money in connection with this business. Plaintiff “rented out” the business to a friend, Samuel S., who charged a “fee to recording artists” who used plaintiff’s business. Applicable regulations define “Incompatible Activity” in part as follows: “(b) Before engaging in any outside employment, activity or enterprise, including self-employment, the employee must submit a statement to his or her division administrator or to the warden or superintendent, naming the prospective employer, if any, the employer’s address and phone number, and an outline of the proposed duties or activities” (Cal. Code Regs. tit. 15, § 3413). Plaintiff continually failed to submit such a statement regarding his outside business activities.

The NAA further provided that, pursuant to section 19574, plaintiff was being “dismissed from [his] position as a Correctional Officer” effective January 14, 2014; and that plaintiff was subject to adverse action based on the following subsections of section 19572 : “(d) Inexcusable neglect of duty; [¶] (f) Dishonesty[; ¶ and ¶] (t) Other failure of good behavior either during or outside of duty hours, which is of such a nature that it causes discredit to the appointing authority or the person’s employment.” The NAA also provided that adverse action was being taken against plaintiff based on section 19990, which in part provides that a “state officer or employee shall not engage in any employment, activity, or enterprise which is clearly inconsistent, incompatible, in conflict with, or inimical to his or her duties as a state officer or employee.”

The NAA set forth plaintiff’s rights with respect to the proposed action, including to respond to the NAA and/or to appeal the proposed action to the Board, which appeal “shall be deemed to be a request for hearing or investigation as provided in [section] 19575.”

B. Administrative Hearing

Plaintiff appealed the NAA to the Board. The matter came on for hearing between September 8 and 10, 2014, before Administrative Law Judge (ALJ) James M . Soboleski. The ALJ issued a 24-page proposed decision dated November 20, 2014.

The ALJ set out the issues to be resolved as follows: “1. Did Respondent [CDCR] prove the charges [set out in the NAA] by a preponderance of the evidence? [¶] 2. If Respondent proved the charges by a preponderance of the evidence, does [plaintiff’s] conduct constitute a violation of . . . section 19572, subdivisions (d) inexcusable neglect of duty, (f) dishonesty, (r) violation of the prohibitions set forth in accordance with . . . [s]ection 19990, and/or (t) other failure of good behavior either during or outside of duty hours which is of such a nature that it causes discredit to the appointing authority or the person’s employment[. Footnote omitted.] [¶] 3. If [plaintiff’s] conduct violates . . . section 19572, what is the appropriate penalty?”

Inexcusable Neglect of Duty

a. Outside Employment

The ALJ found that CIM had a policy requiring all staff to notify the warden’s office about outside employment; that plaintiff acknowledged such a policy existed and his duty to advise the warden as much; and that plaintiff was concerned enough about complying with this policy that he sought the advice of Lieutenant Dirk Williams.

Plaintiff at the hearing testified that, when he spoke with Williams about this issue, CDCR community resource manager Howard Gaines was also present. Plaintiff testified that Williams equivocally stated he did not believe plaintiff needed to advise the warden about his business enterprise; that Williams gave plaintiff this advice because, according to plaintiff, his business enterprise “didn’t affect [his] job duties or have anything to do with any[,] not illegal activities, but law enforcement activities”; that plaintiff recognized, “for instance,” he was “not allowed to own [an] alcohol license because [he’s] a peace officer”; that during their conversation, Williams did most of the talking, while Gaines “just mostly agreed” with Williams; and that because he was not “moonlighting” and it was merely an “investment,” both Williams and Gaines did not believe it was necessary for plaintiff to notify the warden about his recording-studio business.

Respondent CDCR called Williams in rebuttal. He testified at all times relevant, he was the public information officer (PIO) at CIM; that his job responsibilities as PIO included acting as the warden’s “right-hand assistant”; that he was familiar with the polices of CIM regarding “secondary employment”; that there was “actually a form that the — the employee would fill out and submit . . . to the warden’s office for receipt and review”; and that the warden “at the time issued out a memorandum . . . to all CIM employees . . . notifying [them] that if they were in secondary employment, they had to report it to . . . the warden’s office.” Williams estimated the warden circulated this memorandum sometime in 2012.

Regarding plaintiff, Williams recalled that they had a five to 10-minute conversation in the warden’s secretary’s office, but was uncertain whether Gaines was present at the time; that plaintiff “had some questions about . . . outside employment, whether or not he should have . . . disclosed it”; that plaintiff mentioned he had invested money into a business, but did not tell Williams the nature of the business; and that Williams advised plaintiff “to report it to the . . . the warden’s office, via the memorandum that was available[,] to insure that he had no issues and to document his — his employment.”

Williams further testified that as the PIO, plaintiff’s disclosure did not satisfy the requirement that plaintiff notify the warden’s office about his business enterprise, as plaintiff also needed to “fill out the documents and submit [them].” Williams noted that regardless of the nature of employment, it still needed to be reported; that he had no recollection of having any conversation with plaintiff regarding whether his employment involved alcohol; and that Williams advised plaintiff to report his business activities to “be on the safe side,” as it was “[b]etter to be safe than sorry.”

Gaines testified that at all times relevant, he was the community resources manager at CIM; that he had no recollection of being involved in a conversation with Williams or plaintiff regarding plaintiff’s outside employment; and that if he had been involved in such a conversation, he likely would have remembered it.

Plaintiff in surrebuttal testified that Gaines was in fact present during his conversation with Williams; that the conversation took place in late 2012 or 2013, as plaintiff had invested in the recording business in 2012; and that plaintiff approached Williams because he did not know much about CDCR rules regarding secondary employment, and thus believed the PIO “would be a good place to start.” Plaintiff testified he was not required to be at the business; that he merely had subleased the building he was leasing; and that he was not required to make any decisions regarding the investment. Plaintiff conceded he did not notify the warden’s office or submit the form or forms to that office, as recommended by Williams.

Plaintiff disputed that Williams had advised him to submit the proper form or forms to the warden’s office to “be on the safe side.” Plaintiff instead testified: “He [i.e., Williams] . . . said the way everything was working out, that he didn’t think — he didn’t think at all that I would have to turn that in, but he wasn’t sure. [Williams] is one of those guys that’s not going to tell you — if he doesn’t know anything, he’s not going to tell you, yeah, you don’t do it. He’s one of those guys that if he’s not sure, then maybe I should go somewhere else or — I mean, you know, but he wasn’t sure.”

Plaintiff further testified his understanding at the time of his meeting with Williams and Gaines regarding secondary employment was such employment only needed to be disclosed “if it had something to do with alcohol, tobacco, bars, firearm sales.” At the hearing, however, plaintiff recognized that “[n]o matter what employment, investment, anything, you must inform your hiring authority.”

The ALJ found that plaintiff sought to excuse his failure to notify the warden about his outside business activity by claiming it was merely an ” ‘investment.’ ” At the hearing, plaintiff was asked if he admitted to engaging in outside employment during his OIA interviews. Plaintiff in response testified, “No. It’s not an employment, per se. It was an investment.” When asked if he was “operat[ing] a business,” plaintiff responded he was “not actually operat[ing]” a business, but rather he “subleased the building” to his friend Samuel, who in turn was operating a recording studio with paying customers, which started up in November 2011. Plaintiff, however, claimed he received “no financial benefit” from subleasing the building to Samuel, or any “profits” from Samuel’s operation of the business.

The ALJ found plaintiff’s testimony “disingenuous, especially in light of [plaintiff’s] conversation with Lieutenant Williams,” inasmuch as the ALJ also found plaintiff devoted “time and effort” into “obtaining a business license and building lease, and subleased the building to [Samuel],” and when Samuel stopped making payments on the lease, plaintiff “was responsible for, and made the balance of, these payments” “not [as] a passive investor, but [as] a leaseholder and landlord,” which activities the ALJ found were “reasonably considered ’employment.’ ” The ALJ thus concluded, “[Plaintiff’s] failure to notify the warden was purposeful and intentional and supports a finding of inexcusable neglect of duty.”

b. Plaintiff’s Failure to Read and Acknowledge Post Orders and Leaving His Post without Permission

The ALJ in the proposed decision noted that plaintiff conceded “not read[ing his] post orders,” and thus, also not signing such orders, despite having about three weeks to do so; and that plaintiff also admitted he left his post on January 2 without advising his supervisor. The ALJ found plaintiff’s actions were “knowing and intentional” and also constituted “inexcusable neglect of duty.”

c. Threat to Montanez

Borbon testified just as he was driving away from CIM at about 10:00 p.m. on January 24 he heard someone call out his name, which turned out to be plaintiff, who requested a ride to Redlands, where Borbon also lived. About three or four minutes into the drive, plaintiff initiated a conversation regarding the allegation he had handed-off contraband to an inmate. Borbon testified he played “dumb” as plaintiff stated, “well you know, we’re talking about your buddy Montanez, Officer Montanez. He [i.e., plaintiff] stated that if he got fired after what Montanez had stated or alleged or a memo that he had provided to — concerning the event that transpired in Central, that Montanez . . . better watch his back. That’s exactly what he said.”

When asked what plaintiff meant by this statement, over objection Borbon testified, “At the time I believed he was blowing off steam because of everything that was going on. And so I figured, okay, well, maybe, you know, they’re going to get into it, argue, maybe fight. . . . So we continued to drive. And I explained to him, hey, refrain from any type of comments like that because I’m obligated to, you know, disclose that information to my supervisor if something does transpire at a later date.” According to Borbon, plaintiff appeared “upset and slightly angry” when he made this statement. During their 20- to 25-minute drive to Redlands, plaintiff told Borbon he did not give Joseph contraband on January 2, but instead “some . . . shoes and tee shirts, State stuff . . . in a bag.”

About two days after his conversation with plaintiff, Borbon saw Montanez at an off-duty charity event for a fallen CO. Without going into detail, Borbon then told Montanez “briefly what [had] happened” on his ride home with plaintiff. Borbon testified a few days thereafter, he called Montanez and “disclosed thoroughly” what plaintiff had said during their drive to Redlands. Borbon testified he made the disclosure to Montanez “as one friend to another, you know, [to] watch your butt. He’s [i.e., plaintiff] making innuendoes that he’s going to do some harm to him. I don’t know to what extent. And, you know, be careful.” Borbon also relayed his view that plaintiff was “just blowing off some steam” when he made the statement, and denied ever telling Montanez that plaintiff wanted to “kill” Montanez.

When asked why he spoke to Montanez on two occasions about plaintiff’s statement if plaintiff was merely “blowing off steam,” Borbon testified: “The first one, again, was brief where there was a lot of people there, and I didn’t want other people knowing [Montanez’s] business. And the second one I spoke to him on the phone just exactly what was said in the car. That if [plaintiff] gets fired, Montanez should watch his ass. It was something really brief. It wasn’t a grave nature. Just like between friends, hey, watch your butt. Officer over there is going to kick your but[t]. It’s — I didn’t think he was going to carry out a viable threat to kill Montanez.” Borbon, however, admitted that a “fight” could be considered a “threat.”

Borbon testified Montanez did not make any statements suggesting he was “afraid for [his] life” or otherwise appear to act “scared” during their phone conversation. Borbon took no further action to report plaintiff’s statement. When asked why not, Borbon testified, “Because, again, I — I felt that it wasn’t — I just thought [plaintiff] was blowing off steam concerning what had transpired, you know. Like if you’re on the line, oh, forget about — forget about that guy. I’m going to kick his butt later, you know, after work. I just thought he was blowing off steam, so I didn’t take it as a viable threat.” When asked why he told Montanez about the “threat” if he did not believe it was “viable,” Borbon stated, “That’s a good question. Don’t know.”

In March 2014, members of the OIA interviewed Borbon regarding plaintiff’s statement about Montanez. After he was admonished, Borbon gave a statement without requesting representation. At that point in time, Borbon did not believe he had done anything wrong in not reporting plaintiff’s January 24 statement about Montanez.

About a month later, OIA agents informed Borbon he was under investigation for failing to notify a supervisor regarding plaintiff’s statement that Montanez “better watch his back” if plaintiff lost his job over the tobacco incident. Borbon requested representation for the second interview. After the second OIA interview, Borbon testified his interviewers “implied the word viable” with respect to the “watch your back” statement, which to Borbon meant: “That it could be carried out. A threat that could be carried out and do harm.” As a result of his failure to report plaintiff’s statement about Montanez, Borbon’s pay was cut “five percent for three months.”

Montanez testified that, during a charity event in Chino, Borbon “pulled [him] to the side” and warned him “to be careful” and to “[w]atch [his] back” because “[plaintiff] was going to kill [him]” if plaintiff was fired over the tobacco incident. During this conversation, Borbon stated he would follow up with Montanez, as Borbon then did not “feel comfortable” talking more about it as “there [were] too many people around.”

When asked at the hearing how he interpreted the statement, “you better watch your back,” Montanez testified he believed it was a “threat endangering [his] life” and it suggested he ought to “be careful around [his] surroundings.”

Montanez testified about two days after they spoke at the charity event, Borbon called him and they again discussed plaintiff’s “watch your back” statement. During this second conversation, Montanez testified Borbon made the following statements: “He told me that he had [given] Officer McLain a ride home. He didn’t have a ride, so he gave him a ride to go to his house. And during that ride, Officer McLain was agitated. He was mad. And he was telling Borbon that if he gets fired that he’s going to kill me, and that somebody’s going to hurt me, something in that nature.”

Montanez further testified that he still felt threatened by plaintiff in late March 2013, at or near the time he met with OIA agents; that he did not tell agents during this interview that Borbon had remarked during the charity event plaintiff wanted to “kill” Montanez; and that the first time he ever made such a statement was at the administrative hearing.

Montanez testified that later in 2013, he drove to plaintiff’s mother’s home to look at a television and other electronic equipment plaintiff was selling. Montanez estimated he was with plaintiff at the home for about 20 or 30 minutes and ended up buying a television from plaintiff for $400. During this interaction, Montanez did not feel threatened by plaintiff.

Plaintiff’s version of events, including what he said to Borbon on the drive to Redlands, conflicted with Borbon’s testimony. Plaintiff testified during the afternoon of January 24 he asked Borbon for a ride home so plaintiff could work the third shift and collect overtime; that as soon as plaintiff got into the car, Borbon asked plaintiff, and not vice versa, what was happening between him and Montanez; and that plaintiff told Borbon he was “very upset,” as plaintiff “couldn’t believe what was — what [he] was being accused [of] . . . .” At Borbon’s request, plaintiff then told Borbon what had happened on January 2 involving the alleged hand-off of contraband from plaintiff to Joseph. Plaintiff testified, “So I proceeded to explain to him what I was accused of. And I just — I — I basically was ranting and raving like — like a girl, I guess. I don’t know. I was just that upset. I just couldn’t believe it.”

Plaintiff, however, denied ever threatening Montanez. When asked what he told Borbon, plaintiff testified, “I said, you need to — you need to tell Montanez that if I lose my job over this, he better watch himself, because I’m going to take his job.” Plaintiff further testified when he made this comment, he was talking about filing a lawsuit against Montanez for “[d]efamation of character” because he believed he was being wrongly accused by Montanez. According to plaintiff, Borbon kept saying, “it’s no big deal,” to “let things go,” and “[i]f you didn’t do anything, it’s not a big deal.”

The ALJ found section 31040.3.4.1 of the Manual, as discussed in more detail post, defined a threat as a “verbal statement ‘expressing the intent to harass, hurt, (or) take the life of another person.’ ” The ALJ also found plaintiff “was aware of CDCR’s policy regarding threats, but still made the statement that Montanez ‘better watch his back’ if [plaintiff] lost his job. This statement falls within the definition of a threat set forth in Respondent’s zero tolerance policy. [Plaintiff’s] statement about Montanez was purposeful and intentional, and supports a finding of inexcusable neglect of duty.”

d. Contraband

The ALJ found respondent CDCR failed to prove by a preponderance of the evidence that plaintiff on January 2 gave inmate Joseph contraband, namely a “zip lock bag of tobacco.” In making this finding, the ALJ noted that plaintiff denied giving the inmate anything, but testified he left his post and only spoke to the inmate about locating some office supplies. The ALJ further noted that, although Montanez did not know plaintiff and thus, had no reason to create or report false observations, there were several concerns when evaluating Montanez’s observation and actions, including that he was busy escorting a dozen or so inmates when he saw what he believed to be a “handoff of contraband” between plaintiff and Joseph; that Montanez’s attention was therefore “divided” and his view of the alleged handoff somewhat obstructed by a “holding cage,” thereby casting some doubt on the accuracy of Montanez’s perception of what took place, if anything; and that, after seeing what he believed was a handoff, Montanez did not stop or detain Joseph, but instead watched him from outside Room 1, rather than confronting the inmate inside the room or calling for backup to help him do so.

Also of concern to the ALJ was what he deemed “weak” evidence tying Joseph to the tobacco found in Room 1. Although Montanez stated he kept a visual on Joseph while the inmate was inside the room and saw the inmate place a brown paper bag inside a locker, Captain Thomas testified he searched the area of the room where Joseph allegedly had placed the brown bag and found no contraband or brown bag. The ALJ noted that the contraband was found only after a lock had been cut off a locker; that Montanez never mentioned a lock when he testified about his observation of Joseph in Room 1; and that Joseph “credibly testified” he did not have the combination to any of the locks on the lockers in Room 1, which testimony was not rebutted by CDCR.

Finally, the ALJ found the circumstances surrounding the perceived handoff between plaintiff and Joseph were “inconsistent with an effort by a CO to smuggle contraband to an inmate.” The ALJ recognized plaintiff was an experienced officer, knew contraband was banned, and knew of the presence of Montanez and the “line of inmates” he was escorting as plaintiff was talking to the inmate. Under such circumstances, the ALJ found it was “unlikely [plaintiff] would try to hand [Joseph] a bag of tobacco in an open hallway rather than finding an empty room to make such a transfer.”

Dishonesty

The ALJ found respondent CDCR did not present any evidence of statements made by plaintiff during his OIA interview that were “false or dishonest.” (§ 19572, subd. (f) [dishonesty].)

Violations of Prohibitions in Section 19990

The ALJ noted that section 19572, subdivision (r), provides that an employee may be disciplined for “violating the prohibitions against incompatible activities set forth

in . . . section 19990,” which section precludes a state employee from engaging in any activity that is “inconsistent, incompatible, in conflict with, or inimical to his or her duties as a state officer or employee.” (§ 19990.)

The ALJ found respondent CDCR failed to “present any evidence that subleasing a building for use as a recording studio” was “incompatible with or inimical with [plaintiff’s] duties as a CO.” As such, the ALJ dismissed this charge against plaintiff.

Other Failure of Good Behavior

The ALJ noted plaintiff also was charged with “other failure of good behavior that causes discredit to the appointing authority or the [plaintiff’s] employment” under subdivision (t) of section 19572. The ALJ further noted such misconduct “must be of such a nature as to reflect on the employee’s job”; that is, the “misconduct must: (1) bear some rational relationship to the [plaintiff’s] employment; and, (2) be of such a character that it can easily result in the impairment or disruption of the public service. [Citations.]”

The ALJ found as follows that plaintiff’s failure to notify the warden of his outside business interests violated subdivision (t) of section 19572: “CIM promulgated a policy requiring all employees to notify the warden of any secondary employment in advance. Advance notification of outside employment would permit the warden to evaluate whether the proposed employment or business activity violated Respondent’s incompatible activity policy [footnote omitted], and whether it had any negative impact on the reputation of Respondent or its mission. [Plaintiff’s] failure to provide the warden with notification of his business activities was related to the conditions of his employment, and, therefore, his employment. Additionally, by failing to notify the warden as required, [plaintiff] prevented the hiring authority from evaluating his secondary business and ensuring that it did not violate Respondent’s incompatible activity policy or discredit Respondent or its mission.”

The ALJ also found plaintiff’s failure to read and acknowledge the post orders and his leaving his post on January 2 without notifying his supervisor separately violated subdivision (t) of section 19572, as such conduct was related to “his employment and was of such a character that could easily result in the impairment or disruption of the public service.”

Finally, the ALJ found plaintiff’s threatening remark about Montanez also violated section 19572, subdivision (t), as such a remark “raises concerns about the ability of the CO’s to work together in a professional manner, and the willingness of CO’s to respond to and protect each other in emergency situations.”

Penalty

The ALJ found the “evidence did not prove two of the most serious charges, namely that [plaintiff] gave Inmate [Joseph] contraband or that [plaintiff] was dishonest during his OIA interview. However, the evidence presented proved four other charges against [plaintiff]: [plaintiff] violated CIM policy by engaging in an outside business without first notifying the warden; [plaintiff] failed to review his post orders to learn the full extent of his duties as the Education Officer; [plaintiff] left his assigned post and facility without permission; and most significantly, [plaintiff] made a threatening statement against a fellow officer in violation of Respondent’s workplace violation policy.”

The record shows the ALJ considered plaintiff’s threat against Montanez to be the “most serious” of the charges proved against plaintiff, noting that “[p]risons are dangerous places”; that “CO’s must have confidence they can rely on their fellow CO’s for assistance and backup”; that a threat by one CO toward another “can seriously undermine this confidence and unnecessarily increase the dangers in the work environment”; and that plaintiff not only failed to take responsibility for making the threatening remark, but instead “sought to minimize his action by testifying that he only planned to sue Montanez and take his job.” As such, the ALJ concluded plaintiff’s “threatening remark and failure to accept responsibility for it justifie[d] a strong penalty.”

The ALJ also found that plaintiff “acknowledged his failure to read his post orders and his decision to leave his post without authorization,” and that plaintiff engaged in misconduct when he failed to notify the warden about his “outside business activities.” Regarding the latter issue, the ALJ noted such misconduct, while less severe in nature than the threat to Montanez, was nonetheless noteworthy because plaintiff “again sought to avoid responsibility for this action by characterizing his business activities as an ‘investment’ and not ’employment.’ ”

Relying on Skelly, the ALJ concluded plaintiff’s “various acts of misconduct caused harm to the public service,” which warranted plaintiff’s dismissal from CDCR.

C. Board Resolution and Order

The Board on April 16, 2015 “carefully considered” the November 20, 2014 proposed decision of the ALJ. The Board then adopted as its own the “findings of fact, determination of issues, and [p]roposed [d]ecision of the ALJ . . . as its Decision in the case . . . .”

D. Petition for Rehearing

Plaintiff petitioned the Board for rehearing, which it granted on July 7, 2015. Although not limiting the matters to be argued on rehearing based on the administrative record, the Board invited discussion on the following issues: “1. Whether there was substantial evidence supporting the finding that [plaintiff’s] statement to Sergeant B[o]rbon, ‘If I lose my job over this, Montanez had better watch his back[,]’ was a threat to physically harm Officer Montanez? The parties are directed to cite to the record to support their respective positions. [¶] 2. Respondent’s threats and violence policy defines a threat as a statement ‘intended to intimidate.’ Does Respondent need to prove that [plaintiff] made the statement with the intent to intimidate in order to sustain Respondent’s charges against [plaintiff]? [¶] 3. What is the appropriate penalty for the proven misconduct?”

The Board on January 7, 2016, issued an order affirming its April 16, 2015 decision. In so doing, the Board in its January 7 decision and order found in part as follows: “The Proposed Decision [adopted by the Board on April 16] found that [plaintiff] failed to read and acknowledge his post orders, left his post without advising his supervisor, and made a statement that was intended or reasonably perceived as a threat against another correctional officer. [Plaintiff] filed a Petition for Rehearing principally asserting that the Administrative Law Judge (ALJ) erroneously interpreted [plaintiff’s] statement as a threat when it was simply a shortsighted utterance made while [plaintiff] was upset and venting his frustration. The Board granted the Petition for Rehearing to allow the parties to argue the case with particular discussion on whether [plaintiff’s] statement was a threat directed at another officer. After reviewing the entire record and hearing the arguments proffered by the parties, the Board finds no reason to disagree with the ALJ’s findings of fact and ultimate conclusion that [plaintiff’s] comment was indeed a threat.

“The Board finds that [plaintiff’s] statement to Sergeant Jesus Borbon (Sgt.

Borbon) that ‘[i]f I lose my job over this, [CO] Montanez (Officer Montanez) had better watch his back’ amounts to a threat of possible violence or harm. [Plaintiff] does not dispute that he made a statement after learning that Officer Montanez was the reason for the investigation into [plaintiff’s] conduct. [Plaintiff] explains that he merely meant he would go after Officer Montanez’s job and did not mean any actual violence. This assertion is not supported by the evidence. In particular, Sgt. Borbon was sufficiently concerned about [plaintiff’s] intent when he made the statement. Sgt. Borbon testified that he understood [plaintiff’s] statement to mean that [plaintiff] was going to fight Officer Montanez if he lost his job. Sgt. Borbon took [plaintiff’s] comments seriously as to warn [plaintiff] that he would have to report [plaintiff] if anything happened.

Sgt. Borbon also alerted Officer Montanez of [plaintiff’s] statements and followed up with a phone call. [Plaintiff] admitted to raving and ranting ‘like a girl’ and that he explicitly instructed Sgt. Borbon to warn Officer Montanez. Further, after being warned by Sgt. Borbon that he may have to report him if he acted on his actions, [plaintiff] changed the topic of conversation rather than correct Sgt. Borbon regarding his alleged intention that [plaintiff] would sue Officer Montanez if he lost his job.

“[Plaintiff’s] explanation that he was simply blowing off steam as a result of false

allegations does not excuse or lessen the severity of his statement. In today’s volatile

world, ill statements regarding the well-being of another employee cannot be condoned

or tolerated. Any statements that are indicia of a threat must be taken seriously by

employers. This is especially true for correctional institutions where officers and other

employees have to rely on each other to ensure their safety and well-being. Threatening remarks from one officer to another likely diminish the expectation of safety and dependability of those working within a prison environment.

“Moreover, [plaintiff] is a peace officer who is held to a higher standard of

conduct. [Citation.] The Code of Ethics as found on the Commission on Peace Officer Standards and Training website provides[,] ‘I WILL keep my private life unsullied as an example to all; maintain courageous calm in the face of danger, scorn, or ridicule; develop self-restraint; and be constantly mindful of the welfare of others. Honest in thought and deed in both my personal and official life.’ [Citation.] The Board is not blind to the fact that officers are humans and as such are fallible like anyone else. Mistakes are made and will be made. Nonetheless, because officers are held to a higher standard of conduct, they are often held accountable for acts or omissions that may very well be forgiven for non-peace officers. So while [plaintiff] was understandably upset with the investigation and possible disciplinary action to follow, it is not unreasonable to expect that he would conduct himself in a professional manner and certainly not utter threats of possible violence or retribution. Dismissal is therefore the appropriate penalty in this instance given the severity of [plaintiff’s] remarks and his continued failure to take responsibility for his actions.”

E. Petition for Writ of Mandate

Plaintiff in April 2016 filed a verified petition for writ of mandate alleging Respondent CDCR “committed a clear abuse of discretion because no substantial evidence exists to support the allegations against [plaintiff]. Nor does substantial evidence exist to determine that the penalty of dismissal [was] appropriate.”

Plaintiff thus requested relief as follows: 1) for a writ of mandate directing respondent to set aside its January 2016 decision and order adopting the ALJ’s decision sustaining the NAA; 2) for all back pay and interest, lost employee benefits, and other rights owed to him as a civil servant with the State; 3) for his reasonable attorney fees and costs of suit; and 4) for any other relief the court deemed proper.

The trial court, after considering the administrative record, the parties’ briefs, and oral argument, in late August 2017 denied “in its entirety” plaintiff’s mandate petition. In its 16-page ruling, the court noted that plaintiff “only dispute[d] the finding that he made the threat against Montanez to Sergeant B[o]rbon, and [did] not challenge the other adverse findings, which the Board also upheld. [Plaintiff] asserts no substantial evidence supports the finding that [he] made a ‘threat,’ and even if a threat was made the Board abused its discretion by sustaining the dismissal.”

Regarding plaintiff’s contention CDCR failed to establish a “threat” under its workplace violence policy, the court cited to section 31040.3.4 of the Manual, which provided CDCR had a ” ‘zero tolerance policy for workplace violence’ ” and would ” ‘respond to any acts or threats of violence with appropriate administrative or legal remedies.’ ” After citing to other provisions in the Manual defining the words “threat,” “intimidate,” and “state workplace,” discussed post, and based on its review of the testimony of plaintiff, Borbon, and Montanez summarized ante, the trial court found CDCR’s workplace violence policy did not “seem to expressly limit discipline to threats made at a ‘State Workplace,’ ” as plaintiff had argued (and as he argues in this appeal); but instead is “intended to promote safety at the workplace, but does not expressly limit its applicability to conduct elsewhere. It seems somewhat absurd to excuse a threat to harm an employee because of the location where the threat [was] made. Therefore, the Court reject[s] [plaintiff’s] argument that the conduct is not subject to discipline because it was made during a commute home from work.”

Regarding plaintiff’s contention there was no “threat” as defined in the Manual, the court noted the conflict in the testimony between Borbon and plaintiff regarding what plaintiff actually had said; how the ALJ had determined Borbon’s credibility had exceeded plaintiff’s, inasmuch as Borbon ” ‘had no motive to slant his testimony against [plaintiff]’ “; Borbon ” ‘warned Montanez of [plaintiff’s] threatening remark shortly after [plaintiff] made it’ “; and unlike Borbon, plaintiff was ” ‘appealing a dismissal, and therefore ha[d] reason to explain away or minimize any conduct that could be deemed threatening.’ ”

The court ruled plaintiff’s contention he did not threaten Montanez with the “watch your back” statement was “patently absurd,” noting plaintiff was then “upset and angry over a false accusation,” and “[w]hy else would one make [such a] remark?” The court thus found the Board’s findings on the threat issue was supported by substantial evidence.

Based on this finding, the court further found the penalty of dismissal was appropriate “considering all the circumstances,” noting: “correctional officers work in a unique environment where they need to back each other up. If there is a question as to whether they will do that, the results can be seriously problematic and violent consequences can result.”

DISCUSSION

A. Guiding Principles

The Board is an administrative agency with adjudicatory powers, pursuant to the California Constitution. (Cal. Const., art. VII, §§ 2 & 3.) When the Board reviews disciplinary actions, it acts “much as a trial court would in an ordinary judicial proceeding . . . . [It] makes factual findings and exercises discretion on matters within its jurisdiction . . . [and] [o]n review the decisions of the Board are entitled to judicial deference.” (Dept. of Parks & Recreation v. State Personnel Bd. (1991) 233 Cal.App.3d 813, 823 (Parks & Recreation).) If an employee such as plaintiff here challenges the Board’s decision by filing a petition for writ of administrative mandate, the superior court must defer to the Board’s factual findings if they are supported by substantial evidence. (Code Civ. Proc., § 1094.5, subd. (c); State Personnel Bd. v. Dept. of Personnel Admin. (2005) 37 Cal.4th 512, 522; Skelly, supra, 15 Cal.3d at p. 217, fn. 31.) “The review is to be limited to considerations of whether the board exceeded its jurisdiction, committed errors of law, abused its discretion, or made findings unsupported by substantial evidence. [Citations.]” (Wilson v. State Personnel Bd. (1976) 58 Cal.App.3d 865, 870 (Wilson).)

On appeal from the superior court’s judgment, an appellate court is not bound by the superior court’s determinations. Instead, we review the Board’s decision, applying the same standard of review the superior court applied. (California Youth Authority v. State Personnel Bd. (2002) 104 Cal.App.4th 575, 584 (Youth Authority); Flowers v. State Personnel Bd. (1985) 174 Cal.App.3d 753, 758; Wilson, supra, 58 Cal.App.3d at p. 870.) Accordingly, we too must accept the Board’s factual findings if supported by substantial evidence. (Valenzuela v. State Personnel Bd. (2007) 153 Cal.App.4th 1179, 1184 (Valenzuela); Parks & Recreation, supra, 233 Cal.App.3d at p. 823.)

“When the standard of review is the substantial evidence test, . . . it is presumed that the findings and actions of the administrative agency were supported by substantial evidence. [Citations.]” (Desmond v. County of Contra Costa (1993) 21 Cal.App.4th 330, 335–336.) Like the trial court, we do not reweigh the evidence on review. (Youth Authority, supra, 104 Cal.App.4th at p. 584; Camarena v. State Personnel Bd. (1997) 54 Cal.App.4th 698, 701 (Camarena).) Instead, we review all the evidence, including that which detracts from the evidence supporting the Board’s determination, but accept all reasonable inferences favorable to the Board. (Youth Authority, at pp. 584, 586; Valenzuela, supra, 153 Cal.App.4th at p. 1184; Parks & Recreation, supra, 233 Cal.App.3d at p. 823; Camarena, at p. 701.) Substantial evidence is relevant, reasonable, and credible evidence that a reasonable person might accept as adequate to support a conclusion. (Youth Authority, at pp. 584–585.)

On questions of law, we of course exercise independent judgment. (Code Civ. Proc., § 1094.5, subd. (b); People ex rel. Lockyer v. Shamrock Foods Co. (2000) 24 Cal.4th 415, 432.) But the Board’s interpretation of governing statutes is entitled to great weight and respect even if not necessarily to deference. (California Dept. of Corrections v. State Personnel Bd. (2004) 121 Cal.App.4th 1601, 1611 (Dept. of Corrections).)

B. Analysis

1. Substantial Evidence

As summarized ante, we have independently reviewed the administrative record and find more than sufficient evidence to support the ALJ’s finding, as adopted by the Board, that plaintiff made the statement to Borbon that Montanez “better watch his back” if plaintiff lost his job over the tobacco incident. Indeed, the record shows that plaintiff was “very angry” on January 24 when he made the statement to Borbon, after being — in plaintiff’s view — wrongly accused of handing-off contraband to an inmate; that plaintiff knew Borbon and Montanez were friends when plaintiff asked Borbon for a ride home and made this statement; that about three or four minutes into the drive, plaintiff brought up the subject of the January 2 tobacco incident; that Borbon merely played “dumb,” as he had heard about the incident, but wanted to hear what plaintiff had to say about it; that when plaintiff commented Montanez “better watch his back” or “ass,” as Borbon testified, Borbon cautioned plaintiff to refrain from making such comments as Borbon was a supervisor and would be “obligated to . . . disclose that information to [his] supervisor if something [did] transpire at a later date”; that plaintiff appeared “upset” when he made the comment about Montanez; that Borbon figured plaintiff and Montanez “maybe, you know, they’re going to get into it, argue, maybe fight”; and that Borbon was certain plaintiff had said Montanez “better watch his back” if plaintiff lost his job.

In addition, a few days after plaintiff made the statement, Borbon reached out to Montanez at a charity event and, without then going into too much detail, told Montanez about his conversation with plaintiff during their drive to Redlands. The record shows Borbon then was concerned enough about plaintiff’s statement that he called Montanez a few days later and “disclosed thoroughly” what plaintiff had said. On questioning, Borbon testified he followed up with Montanez after the charity event because, “as one friend to another,” he wanted Montanez to be “careful,” to “watch [his/Montanez’s] butt” because plaintiff was “making innuendoes that he’s going to do some harm to [Montanez].”

The record shows Montanez confirmed he had two conversations with Borbon and Borbon told him plaintiff had said Montanez had “better watch his back” if plaintiff lost his job as a result of the investigation of the tobacco incident.

As a court of review, it is not our role to reweigh the evidence or the credibility of witnesses in evaluating the administrative record to determine whether it contains sufficient evidence to support a contrary finding. (See Youth Authority, supra, 104 Cal.App.4th at p. 584.) In light of our conclusion that there is more than sufficient record evidence to support the finding plaintiff told Borbon that Montanez “better watch his back” if plaintiff lost his job, we reject this claim of error.

2. Threats and Intimidation

As he did in the trial court, plaintiff next contends that, even if there was substantial evidence to show he made the statement as communicated by Borbon, it was not a “threat” within the meaning of the Manual because CDCR’s workplace violence policy allegedly “only appl[ies] to threats made at the workplace.”

Generally, the same principles of construction and interpretation applicable to statutes are used in the interpretation of administrative regulations. (See Schmidt v. Foundation Health (1995) 35 Cal.App.4th 1702, 1710–1711.) The interpretive task is to determine the intent of the adopting authority. As is true in statutory interpretation, we first look to the language of the regulation. If its words, given their usual and ordinary meaning, are clear and unambiguous, we presume the adopting authority meant what it said and the plain language of the regulation applies. If the words are unclear or ambiguous, we examine the context in which the language appears using the interpretation that best harmonizes the statute internally and with related statutes. We consider the core objective of the regulation (see People v. Superior Court (Zamudio) (2000) 23 Cal.4th 183, 193 (Zamudio)), its history, and background. (See Kraus v. Trinity Management Services, Inc. (2000) 23 Cal.4th 116, 129), superseded by statute on another ground as stated in Arias v. Superior Court (Angelo Dairy) 46 Cal.4th 969, 982.) If possible, every word, sentence, and phrase of a regulation is given significance. (Phelps v. Stostad (1997) 16 Cal.4th 23, 32.)

Key to the instant case, we do not interpret regulations in a manner that results in absurd consequences or defeats the core purpose of their adoption. (See People v. Souza (1993) 15 Cal.App.4th 1646, 1652 (Souza).) Although plaintiff ignores this rule on appeal, we recognize that the “administrative construction of a regulation by the agency charged with its enforcement and interpretation is entitled to great weight. Accordingly, courts generally will not depart from such construction unless it is clearly erroneous or unauthorized.” (Maples v. Kern County Assessment Appeals Bd. (2002) 96 Cal.App.4th 1007, 1015 (Maples).)

Turning to the instant case, the Manual defines a “threat” as follows: “An action (verbal, written, or physical) that is intended to intimidate by expressing the intent to harass, hurt, take the life of another person, damage or destroy property, including threats made in jest but which others could perceive as serious.” (Manual,

§ 31040.3.4.1.) Further, the Manual defines “intimidate” to mean: “To make afraid, frighten, alarm or scare; forcing action or inaction by inducing concerns for one’s safety by means of any physical action and/or verbal comment.”

We conclude under the circumstances of this case that plaintiff’s statement to Borbon during their drive to Redlands that Montanez “better watch his back” if plaintiff lost his job as a result of the tobacco incident constituted a “threat” against, and was intended by plaintiff to “intimidate,” Montanez within the meaning of section 31040.3.4.1 of the Manual. As we have already noted, plaintiff made the remark to Borbon, whom plaintiff knew was friends with Montanez, almost immediately after plaintiff got into Borbon’s car, and at a time when plaintiff was very angry and upset over the accusation by Montanez that he had handed-off contraband to an inmate. Plaintiff also stated Borbon should convey his statement to Montanez, which Borbon did on two occasions a few days after plaintiff made it. The record also shows Montanez initially was concerned about his safety after learning about the statement, a concern also shared by Borbon.

We further conclude the word “threat” is not limited to, or in any way defined by, a “state workplace” as plaintiff argues. “State workplace” is defined in section 31040.3.4.1 of the Manual to mean: “Anywhere a State employee is conducting authorized State business, or enroute [sic] to and from (excluding normal commute) a location where State business is or will be conducted.”

We note CDCR does not interpret its own regulation to limit a “threat” for purposes of the Manual only to statements made, or conduct engaged in, at the workplace. (See Maples, supra, 96 Cal.App.4th 1015 [noting courts give “great weight” to the administrative construction of a regulation by an agency “charged with its enforcement”]; see also Dept. of Corrections, supra, 121 Cal.App.4th at p. 1611.) Nor would the interpretation proposed by plaintiff fulfill the core objective of the regulation (see Zamudio, supra, 23 Cal.4th at p. 193), which is workplace violence prevention.

As already noted, CDCR has a “zero tolerance policy” for workplace violence: “It is the policy of the CDCR to provide all employees and members of the public with a safe and healthful work environment. Violent acts or threats against another person’s life, health, well being [sic], family, or property infringe upon CDCR’s right and obligation to provide a safe workplace for its employees. CDCR has a zero tolerance policy for workplace violence and will respond to any acts or threats of violence with appropriate administrative or legal remedies.” (Manual, § 31040.3.4.) Limiting a “threat” to harm another only to statements or conduct occurring at the workplace would be inimical to CDCR’s zero tolerance policy of preventing workplace violence.

Moreover, if we adopted plaintiff’s interpretation of the applicable provisions in the Manual, CDCR would be unable to regulate, discipline, or pursue “appropriate administrative or legal remedies” against a CDCR employee, such as plaintiff in the instant case, who makes a threatening remark in a car to a supervising CDCR employee about a third CDCR employee regarding an incident that took place at one of CDCR’s prisons. Like the trial court, we conclude such an interpretation would lead to an absurd result. (See Souza, supra, 15 Cal.App.4th at p. 1652.)

3. Penalty

Finally, we conclude plaintiff’s dismissal was not improper. “The propriety of a sanction imposed by an administrative agency is a matter resting in the sound discretion of that agency, and that decision will not be overturned absent an abuse of discretion. [Citations.] ‘Neither a trial court nor an appellate court is free to substitute its discretion for that of an administrative agency concerning the degree of punishment imposed.’ [Citations.] This rule is based on the rationale that ‘the courts should pay great deference to the expertise of the administrative agency in determining the appropriate penalty to be imposed.’ [Citation.]” (Hughes v. Board of Architectural Examiners (1998) 68 Cal.App.4th 685, 692, fn. omitted (Hughes); see Deegan v. City of Mountain View (1999) 72 Cal.App.4th 37, 46 (Deegan) [noting “[n]either the trial court nor the appellate court is entitled to substitute its discretion for that of the administrative agency concerning the degree of punishment imposed”].)

Here, the record shows the Board “carefully” considered the issue of punishment not only once, but twice, as this was also an issue in the petition for rehearing granted by the Board in July 2015. Relying on the Skelly factors, the Board concluded the threatening remark was of a “serious nature,” ruling as follows: “Of the charges proven, [plaintiff’s] threatening remark about Montanez is the most serious. Prisons are dangerous places, and supervisors must rely on CO’s to work with each other cooperatively to minimize the dangers to staff. Additionally, CO’s must have confidence they can rely on their fellow CO’s for assistance and backup. Threats by a CO toward another CO can seriously undermine this confidence and unnecessarily increase the dangers in the work environment. [Plaintiff] also failed to acknowledge the true nature of his statement about Montanez and sought to minimize his action by testifying that he only planned to sue Montanez and take his job. [Plaintiff’s] threatening remark and failure to accept responsibility for it justifies a strong penalty.

“[¶] . . . [¶]

“[¶] . . . [Plaintiff] denied threatening Montanez and sought to minimize his statement about Montanez by stating he would sue Montanez if he lost his job. [Plaintiff’s] testimony suggests he does not appreciate the serious nature of his threatening remark, and supports the conclusion that there is a reasonable likelihood of reoccurrence. [¶] . . . [Plaintiff’s] threat against Montanez was a serious breach of Respondent’s work place violence policy. . . . Accordingly, the penalty of dismissal is just and proper.”

We conclude that the Board did not abuse its discretion in finding plaintiff’s misconduct, including his threat of “possible violence or harm” against Montanez in violation of respondent’s workplace violence policy, warranted his dismissal from CDCR. (See Hughes, supra, 68 Cal.App.4th at p. 692; Deegan, supra, 72 Cal.App.4th at p. 46.)

DISPOSITION

The judgment denying plaintiff’s writ of mandate is affirmed. Respondent CDCR to recover its costs on appeal.

BENKE, Acting P. J.

WE CONCUR:

NARES, J.

DATO, J.

FERNANDO JUAREZ v. LAW FIRM OF HIGBEE & ASSOCIATES

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Lawzilla Additional Information: Plaintiff and Appellant is represented by attorney Allen Ostergar.

Filed 2/28/19 Juarez v. Law Firm of Higbee & Associates CA4/3

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

FOURTH APPELLATE DISTRICT

DIVISION THREE

FERNANDO JUAREZ,

Plaintiff and Appellant,

v.

LAW FIRM OF HIGBEE & ASSOCIATES,

Defendant and Respondent.

G054016

(Super. Ct. No. 30‑2014-00734637)

O P I N I O N
Appeal from a postjudgment order of the Superior Court of Orange County, Mary Fingal Schulte, Judge. Affirmed.

Ostergar Law Group, Allen C. Ostergar III and Treg A. Julander for Plaintiff and Appellant.

Law Firm of Higbee & Associates, Mathew K. Higbee and Ryan E. Carreon for Defendant and Respondent.

* * *

INTRODUCTION

Fernando Juarez appeals from a postjudgment order granting the motion of the Law Firm of Higbee & Associates (Higbee & Associates) to recover its attorney fees. Higbee & Associates had prevailed against Juarez on his complaint for negligence and breach of an engagement agreement (the Engagement Agreement) whereby Higbee & Associates had undertaken to represent him in his marital dissolution action. The trial court granted Higbee & Associates’ motion for attorney fees based on paragraph 11 of the Engagement Agreement, which states: “Disputes arising out of this transaction shall be adjudicated in Orange County Superior Court in the State of California. Losing party to pay attorney fees and courts costs.”

Juarez contends the trial court erred because paragraph 11 is not an attorney fees provision and, if it were, is not broad enough to encompass disputes arising out of Higbee & Associates’ handling of his marital dissolution action. We interpret paragraph 11 de novo and, viewing it as part of the entire Engagement Agreement, conclude it permits the prevailing party in disputes arising out of Higbee & Associates’ legal representation of Juarez to recover attorney fees. We therefore affirm.

FACTS AND PROCEDURAL HISTORY

Juarez’s ex-wife filed a petition for dissolution of their marriage in January 2013. The couple had previously executed a prenuptial agreement. In July 2013, Juarez engaged Higbee & Associates to represent him in the dissolution action pursuant to the Engagement Agreement.

In the first part of a bifurcated trial, the family court found the prenuptial agreement was invalid. Juarez thereafter signed a stipulated judgment in which he agreed to pay his ex-wife $40,000 and to declare the prenuptial agreement invalid. Attorney Mathew K. Higbee signed the stipulated judgment on Juarez’s behalf in May 2014. In In re Marriage of Sandra Georgi Juarez and Fernando Juarez (June 17, 2016, G050639) (nonpub. opn.) a panel of this court dismissed Juarez’s appeal from a judgment entered on the stipulated judgment.

Juarez retained new counsel to represent him in the marital dissolution proceedings. In July 2014, Juarez brought this lawsuit against Higbee & Associates. Juarez asserted causes of action for legal malpractice and breach of the Engagement Agreement arising out of Higbee & Associates’ representation of him in the marital dissolution action. In addition to damages, Juarez sought recovery of “Attorneys’ Fees incurred as provided by contract and statute.” Higbee & Associates moved for summary judgment. The trial court granted the motion and judgment was entered in favor of Higbee & Associates. We affirmed the judgment in Juarez v. Law Firm of Higbee & Associates (Nov. 22, 2017, G052792) (nonpub. opn.).

Higbee & Associates brought a motion for attorney fees based on paragraph 11 of the Engagement Agreement. The trial court granted the motion and awarded Higbee & Associates $32,645.50 in attorney fees. In a minute order, the court made this finding: “[T]he attorney’s fees provision is broad enough to cover the legal malpractice claim, along with the breach of contract claim. The attorney’s fees provision is not limited to enforcing the terms of the agreement, but is broad and encompasses disputes ‘arising out of this transaction. . . .’ A legal malpractice claim is a dispute that arises out of the retaining of Defendant’s legal services.” Judgment on the cost bill, including the attorney fees award, was entered in August 2016. Juarez timely appealed.

DISCUSSION

Juarez does not challenge the amount of attorney fees awarded: He contends only that the Engagement Agreement does not permit their recovery. The appeal thus turns on the meaning of paragraph 11 of the Engagement Agreement.

I.

Background Law and Standard of Review

Attorney fees, when authorized by contract, are allowable as costs. (Code Civ. Proc., § 1033.5, subd. (a)(10).) Code of Civil Procedure section 1021 leaves the “measure and mode of compensation” for attorney fees to the agreement of the parties. Civil Code section 1717 governs attorney fees awards for enforcing contracts that include fee shifting clauses. Section 1717, subdivision (a) awards attorney fees to the “party prevailing on the contract, whether he or she is the party specified in the contract or not.”

“Fee agreements between attorneys and their clients ‘are evaluated at the time of their making [citation] and must be fair, reasonable and fully explained to the client. [Citations.] Such contracts are strictly construed against the attorney. [Citations.]’ [Citations.] Client agreements are construed by the court under traditional principles of contract interpretation [citation], and ‘any uncertainties [are resolved] in favor of a fair and reasonable interpretation.’ [Citation.] If ambiguities are present in the engagement agreement, they are to be resolved ‘in favor of the client and against the attorney.’” (M’Guinness v. Johnson (2015) 243 Cal.App.4th 602, 617 618.)

Foremost among the traditional principles of contract interpretation applicable to attorney fee agreements is the basic goal of giving effect to the parties’ mutual intent at the time of contracting. (Founding Members of the Newport Beach Country Club v. Newport Beach Country Club, Inc. (2003) 109 Cal.App.4th 944, 955 (Founding Members).) “When a contract is reduced to writing, the parties’ intention is determined from the writing alone, if possible” and “‘[t]he words of a contract are to be understood in their ordinary and popular sense.’” (Ibid.) We also consider the circumstances under which the contract was made, and the matter to which it relates. (Civ. Code, § 1647; Founding Members, supra, 109 Cal.App.4th at p. 955.)

“[I]nterpretation of a contract is a question of law we review de novo when, as here, the parties offer no extrinsic evidence on the contract’s meaning.” (Colaco v. Cavotec SA (2018) 25 Cal.App.5th 1172, 1200 1201, citing Founding Members, supra, 109 Cal.App.4th at p. 955.) Here, the parties offered no extrinsic evidence of the meaning of paragraph 11 of the Engagement Agreement. We therefore interpret the scope and meaning of paragraph 11 de novo based on the Engagement Agreement’s language alone.

II.

The Engagement Agreement Permitted Higbee & Associates, as Prevailing Party, to Recover Attorney Fees.

Paragraph 11 of the Engagement Agreement reads in full: “VENUE & COSTS. Disputes arising out of this transaction shall be adjudicated in Orange County Superior Court in the State of California. Losing party to pay attorney’s fees and court costs.” Juarez parses the two sentences of paragraph 11 separately and, based on the second sentence, asserts paragraph 11 is not an attorney fees provision at all. If the second sentence is construed as an attorney fees provision then, Juarez contends, the first sentence cannot be construed to encompass his lawsuit for legal malpractice and breach of contract.

In keeping with the principle that “[t]he whole of the contract is to be taken together, so as to give effect to every part” (Civ. Code, § 1641), we construe both sentences of paragraph 11 together and as part of the Engagement Agreement as a whole. Viewed this way, paragraph 11 is not ambiguous but is an attorney fees provision requiring the losing party to pay attorney fees to the prevailing party in any dispute for breach of the Engagement Agreement, including breach based upon claims of legal malpractice. Because we conclude paragraph 11 is not ambiguous, we decline to construe it against Higbee & Associates.

The second sentence of paragraph 11 requires the losing party to pay attorney fees without expressly identifying whose fees must be paid. The only reasonable interpretation is the second sentence means the losing party agrees to pay attorney fees to the prevailing party. The interpretation urged by Juarez—that the second sentence means the losing party must pay his or its own attorney fees—is not reasonable. There would be no need for a contract recital that the losing party pays its own attorney fees because that is already the law absent a fee shifting statute or contract. Contract interpretations that render provisions “surplusage” are disfavored. (Boghos v. Certain Underwriters at Lloyd’s of London (2005) 36 Cal.4th 495, 503.) While a contract term is not surplusage merely by conferring a right guaranteed by statute (id. at p. 504), the second sentence of paragraph 11 is surplusage under Juarez’s interpretation because it only mentions the losing party. The implication of Juarez’s argument is that paragraph 11 means the prevailing party must pay his or its own attorney fees too. Had the parties intended to confirm the rule that neither the prevailing nor the losing party could recover attorney fees (or would bear his or its own fees), the parties would have said precisely that—or nothing at all. By saying instead that the “Losing party” is “to pay attorney’s fees,” the parties expressed an intent that the losing party would pay the attorney fees of the prevailing party. Attorneys and laypersons alike would read paragraph 11 in this manner.

The second sentence of paragraph 11 must refer to the losing party in disputes within the meaning of the first sentence of paragraph 11. This is the only reasonable interpretation because the two sentences are placed next to each other as part of the same paragraph. Thus, under paragraph 11, the losing party must pay attorney fees to the prevailing party in any dispute “arising out of this transaction.”

The meaning of the word transaction, though not used elsewhere in the Engagement Agreement, can be discerned by reference to the nature of the contractually agreed upon services. By means of the Engagement Agreement, the parties agreed Higbee & Associates would provide legal services for Juarez “on the terms set forth below.” Under paragraph 2, Juarez hired the attorneys “to provide legal services in client’s family law case,” and the attorneys agreed to “perform such work as is necessary, in the best professional judgment of the attorney” and to “properly represent the client in his/her family law matter.” The “transaction” contemplated by paragraph 11, when construed as part of the agreement as a whole, would necessarily include the legal services that are explicitly identified in the Engagement Agreement.

The word transaction is used only in paragraph 11 of the Engagement Agreement, which elsewhere uses the term “the Agreement” or “services.” To Juarez, this choice of words is significant because it suggests Higbee & Associates, which drafted the Engagement Agreement, intended paragraph 11 to mean something different from disputes arising out of the agreement or the services rendered. The decision to use the word transaction in paragraph 11, instead of agreement or services, does not resolve the question of what the word transaction was intended to mean. It is entirely reasonable to conclude the word transaction was intended to include, yet have a broader meaning than, the provision of legal services rendered pursuant to the Engagement Agreement.

Citing The New Oxford American Dictionary (2d ed. 2005), Juarez contends the word transaction means, in its popular and ordinary sense “an instance of buying or selling something; a business deal.” Using that definition, he argues paragraph 11 must be narrowly construed as limited to disputes arising out of buying attorney services and “the financial aspects of the business deal.” Dictionaries often are useful starting points for discerning the meaning of a contract term (Lueras v. BAC Home Loans Servicing, LP (2013) 221 Cal.App.4th 49, 74) so long as we bear in mind that “such examination does not necessarily yield the ‘ordinary and popular’ sense of the word if it disregards the [contract]’s context” (MacKinnon v. Truck Ins. Exchange (2003) 31 Cal.4th 635, 649).

Dictionaries are not uniform in their definitions of “transaction,” and it also has been defined in a somewhat different sense to mean “something transacted; esp: an exchange or transfer of goods, services, or funds.” (Merriam Webster’s Collegiate Dictionary (11th Ed. 2004) p. 1327, col. 1.) Under this definition, the word transaction in paragraph 11 could mean the exchange or transfer of attorney services for compensation. In this sense, transaction would include the rendering of those services, and, therefore, any dispute “arising out of this transaction” would include disputes over the nature and quality of attorney services rendered in exchange for compensation under the terms of the Engagement Agreement. The latter interpretation makes more sense given the context in which the word transaction appears in the Engagement Agreement.

DISPOSITION

The postjudgment order granting Higbee & Associates’ motion for attorney fees is affirmed. Respondent may recover costs on appeal.

FYBEL, J.

WE CONCUR:

ARONSON, ACTING P. J.

IKOLA, J.

DONNA OLIVEREZ v. MARK OLIVEREZ

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Filed 2/28/19 Marriage of Oliverez CA6

NOT TO BE PUBLISHED IN OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

SIXTH APPELLATE DISTRICT

In re the Marriage of DONNA and MARK OLIVEREZ. H044451

(Santa Cruz County

Super. Ct. No. FL024506)

DONNA OLIVEREZ,

Respondent,

v.

MARK OLIVEREZ,

Appellant.
Respondent Donna Oliverez (Wife) petitioned to dissolve her marriage to Appellant Mark Oliverez (Husband) in January 2007. After the trial court declined to enforce a purported marital settlement agreement signed by the parties in 2008 (the Agreement), it held a 15-day trial in 2012 and 2013, the result of which was an order reconsidering the previous ruling and entering judgment incorporating the Agreement. In a published opinion following Wife’s appeal, we reversed the trial court’s judgment and remanded the matter to the trial court, finding that it erred in vacating the prior ruling on the Agreement. (In re Marriage of Oliverez (2015) 238 Cal.App.4th 1242, 1249 (Oliverez).)

Following remand, on December 30, 2016, based on the evidence received at trial, and after receiving further written briefing from the parties, the trial court issued a “Statement of Decision and Final Judgment After Remand” (Judgment), in which it ruled on the issues presented at trial. Rejecting Husband’s request that the court value certain community assets as of the 2012/2013 trial date and assign the pertinent real properties to him, the court instead ordered that the properties be appraised and sold once the Judgment became final. It characterized one of the properties, called La Madrona by the parties, as partially Husband’s separate property, despite the parties’ prior stipulation that the property was a community asset subject to Husband’s right to reimbursement of separate property funds used to purchase the property. The court found that Husband used presumptively community funds to make a $600,000 equalization payment to Wife pursuant to the terms of the Agreement, thus requiring Wife to reimburse Husband only half of that amount, rather than the full $600,000. Determining neither party to be credible, the trial court denied numerous of the parties’ other claims, including Husband’s request for Epstein credits based on his alleged payment of certain community expenses following the parties’ separation.

Husband now argues the trial court erred in making these rulings. We hold that the trial court properly exercised its discretion to order the appraisal and sale of the real properties, and to deny Husband’s request for Epstein credits. Husband did not object in the trial court to the court’s characterization of the $600,000 payment as being from a community source, and thus forfeited that argument on appeal. However, we agree the trial court erred in characterizing La Madrona as partially Husband’s separate property given the parties’ stipulation to the contrary, and thus will reverse the Judgment on that limited basis.

I. FACTUAL AND PROCEDURAL HISTORY
II.
In our opinion in the first appeal, we described the background of this dissolution action: “The parties were married in 1993 and separated in January 2007. Wife filed the petition for dissolution of marriage on January 19, 2007, and since then, the divorce proceedings have been ‘contentious’ and ‘highly litigated’ by the parties. At least five different judicial officers have made rulings in the underlying proceedings. Each party has been self-represented at various times. Additionally, wife has been represented by two different attorneys and husband has been represented by six different attorneys.” (Oliverez, supra, 238 Cal.App.4th at p. 1245.) Since that opinion, each party has had at least one additional attorney, if not two.

A. Properties In Dispute
B.
Although the parties’ disputes in the proceedings encompassed numerous issues, the instant appeal concerns the characterization and/or disposition of three real properties and reimbursements related to them, as well as the characterization of a payment Husband made to Wife pursuant to the Agreement.

During the marriage, 131 Silverwood Drive, Scotts Valley (Silverwood) was the family residence. Following the commencement of the dissolution proceedings, in July 2007 the court gave Wife exclusive possession of Silverwood, with orders that she make the mortgage payments and Husband service the home equity line of credit. Although Husband moved out of the home, leaving Wife in possession, Wife stopped making the mortgage payments around February 2008, and moved out of Silverwood around April 2008. Husband moved back into the home in June 2008, and lived there through the time of the first trial in 2012 and 2013. Husband claims he paid over $80,000 to reduce the principal on the Silverwood property after taking possession in 2008, alleging the mortgage and equity lines were current at the time of trial in 2012. At trial, Wife’s appraiser valued Silverwood at $970,000; Husband’s appraiser valued it at $880,000. The total secured debt on the property as of the beginning of trial was $1,003,894.57; by the end of 2012, Husband claimed he had reduced it to $994,668.81. Husband claimed $228,354 in Epstein credits related to Silverwood.

The parties also owned a four-unit rental property at 112 University Avenue, Los Gatos (University), which had a fifth, unpermitted unit. At the time of trial, Wife’s appraiser valued University at $1,175,000; Husband’s appraiser valued it at $920,000. The total secured debt on the property at the time of trial was $320,450.79. Husband sought Epstein credits of $89,814.45 for University.

The third property at issue in this is appeal is an undeveloped, 20-acre lot in Santa Cruz, referred to as the La Madrona property, which the parties purchased as joint tenants during the marriage. The parties stipulated that Husband contributed $668,577.91 of his separate property to purchase La Madrona. At trial, Husband’s appraiser valued the property at $400,000. Wife’s appraiser valued the property at $750,000, while Wife herself opined that it was worth only $700,000. In August 2012, a third party offered to purchase the lot for $550,000. Husband claimed $35,708 in Epstein credits for La Madrona.

C. Marital Settlement Agreement, First Trial, First Appeal and Remand
D.
In April 2008, the parties entered into the Agreement, in which they agreed, amongst other things, to confirm the Silverwood property to Husband as his sole and separate property, along with the community interest in the University and La Madrona properties. In addition to other payments, Husband agreed to pay Wife $600,000 as an equalization payment, to be paid directly into escrow for a house Wife was purchasing on Green Tree Way in Scotts Valley (Green Tree), with the understanding Husband would receive a $29,250 credit against his obligation, representing the commissions Husband earned as realtor in the purchase of the property. Husband paid Wife the $600,000, pursuant to the terms of the Agreement. Husband alleges he “treated the real properties awarded to him as his, paying any shortfall in the property expenses on them with funds borrowed and/or gifted from his family.”

Husband sought to enter judgment based on the Agreement, pursuant to Code of Civil Procedure section 664.6. In December 2010, the trial court denied Husband’s motion, ruling, “that there was never a ‘meeting of the minds’ in regards to the purported marital settlement agreement such that it is thus unenforceable.”

The case proceeded to trial beginning in August 2012; it lasted 15 trial days over a period of more than nine months. A different judicial officer presided over the trial than heard the motion to enforce the judgment. At the end of the trial in October 2013, the court issued a tentative ruling stating its intent to reconsider the prior order denying the motion to enforce the Agreement. (Oliverez, supra, 238 Cal.App.4th at p. 1246.) The court formally noticed a motion for reconsideration, affording the parties the opportunity to brief the issue. In March 2014, the court issued a statement of decision and final judgment in which it abrogated and vacated the December 2010 ruling on the Agreement. The court then entered a judgment of dissolution, incorporating the Agreement into the judgment.

Wife timely appealed the March 2014 judgment. In a published opinion, we determined there are limited circumstances in which one judge can reconsider the ruling of another judge, none of which were present in the instant case, finding, “[m]ere disagreement, as here, with the prior trial judge’s ruling, however, is not enough to overturn that ruling. [Citation.]” (Oliverez, supra, 238 Cal.App.4th at p. 1249.) We reversed the March 2014 judgment and remanded the matter to the trial court. (Id. at p. 1250.)

E. Proceedings Following Remand: Proposed and Final Statements of Decision
F.
1. Post Remand Hearings
2.
The trial court conducted several hearings after receiving the remittitur from the first appeal, most notably on January 8, 2016, and April 18, 2016. Although Wife requested a new trial regarding the valuation of the properties, the trial court determined it could rule based on the evidence received at the 2012/2013 trial. Prior to doing so, the court received proposed statements of decision and/or additional written argument from the parties. Wife asked the court to characterize all of the real property, including the properties at issue in this appeal, as community property, to be appraised to determine their current market value and sold, with the proceeds divided between the parties. Husband asked the court to value the properties based on the evidence presented at the 2012/2013 trial, and award the properties to him in recognition of the Epstein credits and other reimbursements he believed Wife owed him. Husband also asked the court to award him the proceeds from Wife’s sale of the Green Tree property as reimbursement for the $600,000 payment he made to Wife pursuant to the Agreement.

3. Proposed Statement of Decision
4.
The trial court issued a proposed statement of decision and final judgment on October 3, 2016, confirming the Silverwood and University properties as community property. The court stated, “the parties appear to agree that some portion of the [La Madrona property] is [Husband’s] separate property”; the court found the remainder to be community property, without making any findings as to what percentage was separate versus community. The court determined all three properties should be appraised and sold, with the net proceeds to be split evenly between the parties, except for La Madrona, the proceeds from which would be divided based on the relative separate and community interests. The court did not address Husband’s request for reimbursement of his separate property contribution to La Madrona in the proposed statement of decision. The court determined Husband’s payment to Wife of $600,000 pursuant to the Agreement was “made from what were presumptively community property assets,” and ordered Wife to reimburse Husband $300,000 upon the sale of the Green Tree property, which the court determined to be partly Wife’s separate property.

The court did not specifically address Husband’s request for Epstein credits in its proposed statement of decision. Rather, it generally discussed all of the parties’ remaining claims stating, “The history of this case, and the evidence presented at trial, establishes that each of these parties has made outlandish claims and assertions about the other and patently self-serving assertions about him or herself, a large proportion of which are unsupported by evidence, contradicted by other evidence, and/or inherently unworthy of belief.” Husband had asserted that he was entitled to reimbursements and Epstein credits because family members had loaned him or gifted him money to maintain the properties after he separated from Wife. The trial court was not persuaded, finding that it “seriously questions the legitimacy of [Husband’s] documents and is convinced that some if not all of them were not prepared or executed contemporaneously with the transactions they describe. . . . Because of this, this court is unable to find that the documentation of any of these purported loans presented is credible.” “Since the court is unable to find either party to be credible, either as to his or her testimony or as to the documents he or she has presented to the court, the court finds that each party has failed to sustain his or her burden of proof as to the remaining claims.”

Husband filed written objections to the court’s proposed statement of decision. He objected to the order for the appraisal and sale of the Silverwood, University, and La Madrona properties, claiming the requirement that the parties equally share the sale proceeds, “fails to consider the principal pay down of the mortgages on the properties with [Husband’s] separate funds, which necessarily increased the equity in the

assets (whether by way of loans, which [Husband] would be solely responsible to pay back by virtue of the Court’s order, or gifts to [Husband] which would constitute his separate property post separation). Under either scenario, [Wife] will receive an inequitable and unjustifiable monetary windfall, resulting in an unequal division of the community estate. [Husband] requests that the Statement of Decision set forth the factual and legal basis for denying Fam. Code §2640 (b) reimbursement.” If the court did not award Husband his requested reimbursements, under either Family Code section 2640 or Epstein, Husband objected to the court’s “failure to consider the value of the properties at the time of trial,” arguing dividing the properties based on their current market value would result in an “unjust financial windfall” to Wife without such reimbursements. Husband did not address the court’s finding that La Madrona was partially his separate property in the written objections.

Husband also objected to the court denying his requests for Epstein credits, arguing he provided uncontroverted testimony and evidence at the trial showing he maintained the real property assets for an eight-year period between the date of the Agreement and the date of trial by taking loans from his family. Husband contended he paid over $1.3 million in community expenses, for which the court made no factual findings that support the court’s denial of his claims for Epstein credits. Husband noted the trial court cited Family Code sections 2623 and 2626 in its proposed statement of decision, neither of which he believed supported the trial court’s decision to deny his requests; rather he claimed the trial court had to look at case law setting forth guidelines for Epstein credits, arguing the court’s proposed statement failed to set forth the legal and factual basis for denying the credits. He asked the court to do so in its final statement of decision.

Regarding the $600,000 payment to Wife, Husband asserted that he made the payment pursuant to the Agreement, which Wife used towards the down payment of a home. However, he did so in conjunction with his arguments about his requests for reimbursements and Epstein credits; Husband did not raise a specific objection regarding the court’s ruling that the payment came from a presumptively community source.

5. Final Statement of Decision and Judgment
6.
When it issued the Judgment, the court indicated it received and considered Husband’s written objections, making modifications, clarifications and findings as appropriate. The trial court adopted its previous ruling that the Silverwood and University properties should be appraised once the Judgment became final and sold, with the proceeds divided equally between the parties. While the court did not provide any further description as to the basis for its decision, i.e., why the court rejected Husband’s request to value the properties at the time of the 2012/2013 trial, or why it ordered them sold versus awarding them to Husband per his request, the court did address Husband’s argument that the order selling the properties and dividing the proceeds failed to account for Husband’s alleged pay down of the mortgage with separate property, stating, “This court finds that [Husband’s] testimony and his documentation are not worthy of belief. He bears the burden to establish his right to Fam. Code section 2640(b) reimbursement. He has failed to present credible evidence in support of his claim.”

Regarding La Madrona, the court adopted its previous findings that some portion of the property was Husband’s separate property and that the property should be appraised and sold. The court then added a provision allowing reimbursement to Husband for his separate property contribution to the purchase price, noting, “since he owns some number of the 20 acres as his separate property, he is only entitled to be reimbursed for the proportion of that contribution attributable to the purchase of the community property portion of the parcel.”

The court did not make any modifications to its orders regarding the Green Tree property or the $600,000 equalization payment; it adopted the proposed order finding the payment came from presumptively community sources, such that Husband was entitled to reimbursement of $300,000.

As for Husband’s claim that he was entitled to Epstein credits for monies he expended on the properties after the parties separated, the court solidified its finding that Husband’s evidence lacked credibility. The court stated it was “unable [to] accept the legitimacy of [the notes Husband provided at trial], being convinced that some if not all of them were prepared and/or executed on some date well after the transactions they describe.” The court further found Husband “deliberately presented these documents in an attempt to deceive this Court into believing that the notes were prepared and executed on the dates indicated on the notes, knowing that they were in fact prepared well after the dates indicated on the notes.” In response to Husband’s assertion that he provided uncontroverted evidence that he was required to borrow money from his family to maintain the community properties after separation, the court found, “[Husband] confuses the notion of uncontroverted, consistent and/or supporting evidence with the concept of credible evidence. The test is not whether the evidence was uncontroverted or consistent. The test is whether or not the evidence or the witness was credible. If the Court finds a witness to be not credible regarding one subject, the Court is entitled to reject that witness’s testimony (and evidence proffered by him or her) regarding other subjects. This Court finds that [Husband] failed to sustain his burden to present credible evidence to support his claim.” In specific reference to Husband’s request that the court provide explanation for the order denying his request for Epstein credits, the court reiterated its finding regarding Husband’s credibility: “Again, if the Court finds a witness to be not credible regarding one subject, the Court is entitled to reject that witness’s testimony and proffered evidence regarding other subjects. [Husband] has failed to present credible evidence that would sustain his burden to establish he is entitled to Epstein credits.” As it did in the proposed statement, in the Judgment the court denied each party’s “remaining claims,” finding neither party to be credible.

Husband noticed his appeal of the Judgment on February 28, 2016, his deadline to do so under California Rules of Court, rule 8.104(a)(1).

III. DISCUSSION
IV.
A. The Trial Court Did Not Err in Valuing and Disposing of the Properties
B.
Husband argues the trial court erred in ordering the appraisal and sale of the Silverwood, University, and La Madrona properties, rather than valuing the properties based on the evidence presented during the 2012/2013 trial and dividing the properties accordingly. We are required to review the trial court’s orders dividing the community property for abuse of discretion. (In re Marriage of Sivyer-Foley & Foley (2010) 189 Cal.App.4th 521, 526 (Foley).) “Although precise definition is difficult, it is generally accepted that the appropriate test of abuse of discretion is whether or not the trial court exceeded the bounds of reason, all of the circumstances before it being considered. [Citations.] We have said that when two or more inferences can reasonably be deduced from the facts, a reviewing court lacks power to substitute its deductions for those of the trial court. [Citations.]” (In re Marriage of Connolly (1979) 23 Cal.3d 590, 598 (Connolly).) We find no error in the trial court’s valuation order.

1. The Court Had Discretion to Value the Properties at Remand
2.
Husband argues the trial court abused its discretion in ordering the appraisal and sale of the three subject properties following remand on the first appeal, because it “acted outside the law,” which he contends required valuation of assets at the time of the 2012/2013 trial. Husband correctly asserts Family Code section 2552 generally requires the trial court to value the community assets and liabilities “as near as practicable to the time of trial.” (§ 2552, subd. (a).) Based on this, he contends the trial court should have reviewed the evidence presented by the parties during the 2012/2013 trial and valued the properties as of that time, rather than ordering new appraisals once the Judgment became final. Aside from section 2552, Husband does not cite additional legal authority in support of his position.

Family court is a court of equity. (In re Marriage of Schu (2014) 231 Cal.App.4th 394, 401.) While the language of section 2552 is clear, the trial court can find “equity require[s] a valuation as near as practicable to the court proceeding in which the property is actually divided,” such that section 2552, “must be interpreted as requiring community property to be divided at its value as near as practicable to the court proceeding in which a proper division takes place. While normally it will be at trial, it may also be on remand after appeal.” (In re Marriage of Hayden (1981) 124 Cal.App.3d 72, 79 (Hayden) [interpreting former Civil Code section 4800, a near identical predecessor to section 2552].) The court’s decision rests on its evaluation of the facts in the specific case before it. (In re Marriage of Priddis (1982) 132 Cal.App.3d 349, 358, fn. 2 (Priddis) [“Hayden does not stand for the broad proposition that after every appeal a reappraisal of community property must take place”].) The Court of Appeal in Hayden held that the property could be valued at the time of remand, rather than the date of trial. (Hayden, supra, at pp. 77-80.) However, the court also found that the record before it was insufficient to make any determination whether the equities required reevaluating the property, and thus remanded the matter to the trial court for a yet another hearing, setting forth factors related to the parties’ conduct between the time of trial and the date of remand for the trial court to consider in determining whether the equities of the case required revaluation of the property. (Id. at pp. 79-80.)

Subsequently, some appellate courts have interpreted Hayden to require a demonstration that the parties acted unfairly in order to value the properties on remand versus at the date of trial. (See Priddis, supra, 132 Cal.App.3d at p. 358, fn. 2 [“In Hayden, the court suggested that on the facts of that case, the conduct of the parties may have made it unfair to value certain property as of the date of trial. ([Hayden, supra, 124 Cal.App.3d] at pp. 79-80.)”]; In re Marriage of Anderson (1984) 154 Cal.App.3d 572, 581, fn. 6, disapproved of on other grounds by In re Marriage of Buol (1985) 39 Cal.3d 751 and In re Marriage of Fabian (1986) 41 Cal.3d 440 [“In In re Marriage of Hayden (1981) 124 Cal.App.3d 72, 79-80 [177 Cal.Rptr. 183], a reassessment of the disputed property was ordered upon remand after appeal in order to prevent an inequity caused by the unfair conduct of the parties.”].) We do not read Hayden so narrowly—there is nothing in the language of Hayden that limits the trial court’s equitable powers to set the appropriate date of property valuation at remand only where one party acts to the detriment of the other between the date of the underlying trial and the eventual remand of the case. We conclude Hayden affirms the trial court’s discretion to set a property valuation date after appeal according to principles of equity based on the facts of the case.

3. The Record Does Not Demonstrate the Trial Court Abused its Discretion in Valuing the Properties
4.
Here, however, as in Hayden, we face an additional challenge. Husband provided limited information about the trial court’s proceedings following remand to the trial court after the first appeal. Husband, who proceeded by appendix under California Rules of Court, rule 8.124, did not provide any minute orders or other written orders from the hearings held in the trial court in January and April 2016; nor did he designate transcripts from those proceedings as part of the record. We do not know whether the trial court heard any evidence or argument at these hearings, which are pertinent because they potentially included evidence of what occurred between the parties during the period from the first trial to the remand to the trial court after appeal, i.e. the time relevant under Hayden’s analysis. The absence of a record capable of evaluation caused the Court of Appeal in Hayden to remand the matter to the trial court to determine what facts considered under principles of equity compelled a particular valuation date. However, we conclude under the circumstances of this case that the trial court’s decision to set the valuation date at the date of remand did not constitute an abuse of discretion.

Husband was on notice that providing information about what occurred between the time of the original trial and the remand of the case was necessary to this appeal. The issue of the valuation date was squarely before the trial court on remand because the parties placed it at issue. Husband asked the trial court to rule based on the evidence heard at the 2012/2013 trial and adopt the property values as stated during that trial; Wife moved the court to reopen discovery on the issue of valuation of the properties and hold a new trial. At the hearing in April 2016, the court denied Wife’s motion; in the Judgment, it explained its reason for doing so: “Given the reasons for the reversal and remand, this court denied the request for reopening of discovery and additional evidentiary hearings and determined that it was appropriate to render a new Decision and Judgment based on the evidence presented at the trial.” The Judgment does not detail the legal or factual arguments Wife made at the April 2016 hearing, or indicate whether the court took evidence then, leaving us unable to discern the full extent of the proceedings in the absence of the minute order and/or reporter’s transcript from that hearing. It is clear, however, that the trial court considered matters at that hearing relevant to its decision that the properties be valued at the date of remand because it denied Wife’s request to reopen discovery on that issue.

As the trial court conducted post remand hearings in January and April 2016, there is additional information Husband could have provided to us, but did not, despite having the burden to do so. “[A] judgment or order of the trial court is presumed correct and prejudicial error must be affirmatively shown. [Citation.] ‘In the absence of a contrary showing in the record, all presumptions in favor of the trial court’s action will be made by the appellate court. “[I]f any matters could have been presented to the court below which would have authorized the order complained of, it will be presumed that such matters were presented.” ’ [Citation.] . . . ‘ “A necessary corollary to this rule is that if the record is inadequate for meaningful review, the appellant defaults and the decision of the trial court should be affirmed.” ’ [Citation.] ‘Consequently, [appellant] has the burden of providing an adequate record. [Citation.] Failure to provide an adequate record on an issue requires that the issue be resolved against [appellant].’ [Citation.].” (Foust v. San Jose Construction Co., Inc. (2011) 198 Cal.App.4th 181, 187.) Under these principles of appellate review alone, we could find that Husband has defaulted his objection and affirm the trial court’s determination that the date of remand is the appropriate date of property valuation.

However, we are also persuaded the record before us provides sufficient support for the trial court’s choice of valuation date. We first observe that in the Judgment, the trial court implicitly rejected Husband’s argument against valuing the properties at the date of trial rather than the date of remand and judgment. At the 2012/2013 trial, Husband presented evidence that he should be entitled to reimbursements from Wife for approximately $1.3 million in alleged payments made for the properties post separation, and that he took loans from family members for that purpose. He asserted in his proposed statement of decision that dividing the properties at the current market value post remand would result in an “unjust financial windfall” to Wife if he was not reimbursed for those loan payments or other monies he alleged he paid. But the trial court found Husband’s testimony that he was entitled to such reimbursements not credible, and in fact indicated that Husband’s presentation of documents supporting his claims was deceitful. “This court finds that [Husband’s] testimony and his documentation are not worthy of belief. He bears the burden to establish his right to Fam. Code section 2640(b) reimbursement. He has failed to present credible evidence in support of his claim.” The trial court thus rejected the evidence underlying Husband’s equitable argument that Wife would unfairly benefit if the trial court set the property valuation date at the time of remand. (See section II(D), post.)

We are also persuaded that there is separate support for the trial court’s decision in equity. Wife explicitly requested in her June 2016 proposed statement of decision that the date of valuation of the properties should be the date of remand as opposed to the date of the first trial, arguing that “[i]n light of the ‘law of the case’ finding [the Agreement] unenforceable, the parties’ reasonable reliance on Judge Morse’s ruling of unenforceability as the parties conducted their litigation that consumed four more years through trial, the Court’s determination not to reopen discovery or conduct another trial of this 10 year old case, and the obsolescence of the stale real property values as estimated in 2012, 2013 and 2014, fairness and equity compel the Court to order the reappraisal, sale and equitable division of the net proceeds yielded from the 6 real properties that constitute the lion’s share of the remaining marital community estate.” She suggested that the court take “judicial notice of the local real estate market since 2012 (as per [Wife’s] July 26, 2013 Request for Judicial Notice for Increase in Real Estate Values) in concluding the properties surely appreciated since then.”

Drawing every inference in favor of the trial court’s decision as we are required to do, we agree that once the trial court determined that Husband’s reimbursement claims were not credible, the age of the case, the well-known appreciation of real property that occurred over the years while the litigation was pending in the trial court and on appeal, and the obsolescence of the 2012/2013 property valuation, provided a sufficient basis for the trial court to decide that it was equitable to set the date for valuation of the properties in dispute at the date of remand and Judgment, not the date of the 2012/2013 trial. We observe that as a result of the trial court’s ruling, the property is being divided equally between the parties, as required by section 2550. For these reasons, our sense of equity and fairness is not offended by the trial court’s decision, and we hold that the trial court did not abuse its discretion when it chose the property valuation date.

5. The Trial Court Did Not Abuse Its Discretion in Ordering the Sale of the Properties
6.
Husband asserts the trial court erred in ordering the sale of the properties, rather than awarding them to him in equalization for the reimbursements and credits he believes Wife owes him, arguing the sale of the properties is not necessary in order to accomplish an equal division of the community estate. We are not persuaded. The trial court has broad discretion to determine the manner in which to divide community property, keeping in mind the requirement of section 2550 that the community estate be equally divided between the parties. (Connolly, supra, 23 Cal.3d at p. 603; Foley, supra, 189 Cal.App.4th at p. 526.) Thus, we review the trial court’s order for abuse of discretion. (Foley, supra, 189 Cal.App.4th at p. 526.)

In Connolly, the Supreme Court confirmed, “[t]he exercise of a trial court’s sound discretion [to divide property] is best preserved by maintaining a maximum degree of allowable flexibility.” (Connolly, supra, 23 Cal.3d at p. 603.) Keeping that in mind, there are several methods by which the trial court can divide property: “(1) in kind, (2) asset distribution or cash out, (3) sale and division of proceeds, or (4) conversion to tenancy in common where the sale of the family home is deferred . . . .” (In re Marriage of Cream (1993) 13 Cal.App.4th 81, 88 (Cream).) “An order for the sale of an asset or assets and for division of the proceeds is often the most expeditious and least expensive method of resolving disputes over property . . . .” (Id. at p. 89, fn. 6.)

Citing In re Marriage of Holmgren (1976) 60 Cal.App.3d 869 (Holmgren), Husband suggests the trial court can only order the sale of community properties when the properties have “such value that without a sale it would be impossible to equalize the division of assets.” In Holmgren, the trial court ordered the sale of the family residence, which the wife believed should have been awarded to her. (Id. at p. 872.) The Court of Appeal upheld the ruling, finding, “the award of the house to the wife would result in a grossly unequal division of the community property,” as the wife was unable to purchase the husband’s share. (Id. at p. 873.) “It is clear that a court’s power under [former] Civil Code section 4800 must include the power to order the sale of the parties’ residence when it constitutes the major portion of the community property and neither party is in a position to purchase the share of the other.” (Ibid.)

Holmgren does not explicitly limit the trial court’s power to order the sale of assets only where one party cannot purchase the share or interest of another, and appellate courts have upheld the sale of community assets in other circumstances. In In re Marriage of Davis, also cited by Husband, the Court of Appeal determined the provision granting the trial court power to make any orders necessary to carry out the requirement that it equally divide the community estate, “is sufficient to give the court jurisdiction to order a sale of the community property including community real property when, in the exercise of a sound judicial discretion, the court concludes that it should do so in order to accomplish an equal division of the community property.” (In re Marriage of Davis (1977) 68 Cal.App.3d 294, 306-307.) The Davis court did not place any factual limits on the trial court’s ability to order the sale, other than requiring that it include “the exercise of sound judicial discretion.” (Id. at p. 306.) Specifically, nothing in the Davis opinion indicated the property ordered sold was the “major portion of the community property” or that one party could not purchase the other party’s interest, as was the case in Holmgren, supra, 60 Cal.App.3d at page 873.

We also observe that in his objections to the court’s proposed statement of decision, Husband did not argue that the trial court failed to show the sale of the properties was otherwise necessary to effect an equal division, or that Husband could not buy out Wife’s interest in the properties. By failing to object to the trial court’s judgment on this basis, Husband forfeited these arguments on appeal. “[A]n appellate court will ordinarily not consider procedural defects or erroneous rulings where an objection could have been, but was not raised below. [Citation.] The policy behind the rule is fairness. ‘Appellate courts are loath to reverse a judgment on grounds that the opposing party did not have an opportunity to argue and the trial court did not have an opportunity to consider.’ [Citations.]” (In re Marriage of Falcone & Fyke (2008) 164 Cal.App.4th 814, 826 (Falcone & Fyke).)

Husband also argues the court’s order results in an unjust windfall to Wife, as it orders the properties sold at their current values, without consideration of the fact Husband claims to have paid the expenses on the properties since separation. As we have already mentioned and will discuss further below, the trial court determined the testimony and evidence Husband presented regarding his claims for reimbursements and credits related to these alleged payments was not credible. (See section II(D), post.) As we will find the trial court did not err in that regard, we do not consider the court’s alleged failure to constitute an abuse of discretion vis-à-vis its orders disposing of the properties. Based on the above, we uphold the trial court’s orders requiring the appraisal and sale of Silverwood, University, and La Madrona.

C. The Trial Court Erred in Characterizing the La Madrona Property
D.
In ruling the La Madrona property was partially Husband’s separate property, the trial court stated, “the parties appear to agree that some portion of a 20 acre parcel of land on La Madrona Road, Santa Cruz CA is [Husband’s] separate property.” The court then ordered the property appraised and sold, denying in part Husband’s request for reimbursement of his separate property contribution to the purchase of La Madrona based on its finding that some portion of the 20 acres was Husband’s separate property. Instead of a full reimbursement, the court found Husband was “only entitled to be reimbursed for the proportion of that contribution attributable to the purchase of the community property portion of the parcel.” On appeal, Husband argues the parties stipulated the La Madrona property was 100 percent community property. Therefore, he contends the trial court abused its discretion in ruling otherwise.

Husband did not object to the court’s finding, in its October 2016 proposed statement of decision, that the property was partially Husband’s separate property. Rather, in his written objections, he argued only that the court failed to properly address his reimbursement request. In its proposed statement of decision, the trial court, as it did in the Judgment, stated its belief the parties agreed La Madrona was partly Husband’s separate property. The court did not include a discussion of Husband’s reimbursement request in the proposed statement of decision; the court ordered the property appraised and sold, with the proceeds distributed between Husband and the community in proportion to Husband’s separate property ownership, which the court did not define. In objecting to the proposed decision, Husband asked the court to state the legal and factual basis for denying his requested contribution, but did not address the finding that the property was partly his separate property.

As discussed in section II(A)(3), ante, by failing to object to the trial court’s finding that the property was partially Husband’s separate property, Husband arguably forfeited that argument on appeal. (Falcone & Fyke, supra, 164 Cal.App.4th at p. 826.) “However, even where a legal argument was not raised in the trial court, we have discretion to consider it when the theory raised for the first time on appeal is a pure question of law applied to undisputed facts. [Citations.]” (San Mateo Union High School Dist. v. County of San Mateo (2013) 213 Cal.App.4th 418, 436 (San Mateo).) The characterization of property is a question of law, which we review de novo on appeal, applying the substantial evidence standard to the court’s factual findings. (Foley, supra, 189 Cal.App.4th at p. 526; In re Marriage of Davis (2004) 120 Cal.App.4th 1007, 1015.) As the facts concerning the issue of characterization of the La Madrona property are undisputed, we have discretion to consider the issue despite Husband’s failure to raise the argument in the trial court. (San Mateo, supra, at p. 436.) Under the circumstances, we elect to exercise that discretion.

The parties clearly stipulated on the record at the 2012/2013 trial to characterize La Madrona as community property, subject to Husband’s right to reimbursement of his separate property contribution. In the proposed statement of decision Wife submitted in June 2016, Wife confirmed the parties’ stipulation during the trial and referred to the property as community property that should be divided equally. In his July 2016 supplement to his proposed statement of decision and closing argument, Husband asked the trial court to treat La Madrona as his sole and separate property, because he purchased the property “with equity from a sole and separate property.” Husband also filed a proposed statement of decision in July 2013, in which he asked the court to award him the property because it did not have sufficient value to reimburse him his separate property contribution. However, at no point did Husband argue the property was partially his separate property and it is not clear how the trial court determined the parties agreed some portion of the property was Husband’s separate property. There is nothing in the record before us indicating the parties disputed the characterization of the La Madrona property as community property at the time of the 2012/2013 trial.

Reviewing the record de novo, based on the parties’ stipulation, we find the La Madrona property to be wholly community property. There is not substantial evidence supporting the trial court’s finding to the contrary. Aside from the parties’ clear stipulation, the record indicates the parties purchased the La Madrona property during the marriage, as husband and wife as joint tenants. Section 2581 creates a rebuttable presumption that property acquired during marriage in joint form, including joint tenancy, is community property. This presumption is one affecting the burden of proof, and can be rebutted by: “(a) A clear statement in the deed or other documentary evidence of title by which the property is acquired that the property is separate property and not community property. [¶] (b) Proof that the parties have made a written agreement that the property is separate property.” (§ 2581.) The record indicates neither of these exceptions apply in this case; the deed specifies the parties took the property as tenants in common, and there is no clear evidence of a written, valid agreement that the property is Husband’s separate property. While the Agreement may have contained a provision acknowledging a portion of La Madrona to be Husband’s separate property, the trial court found the Agreement to be unenforceable. More importantly, the parties stipulated to characterizing the property as community property after they entered into the Agreement.

Moreover, while the parties agreed Husband did contribute separate property funds to the purchase of the property, they also agreed at trial that Husband could be reimbursed under section 2640, which requires such reimbursement upon division of the community estate when a party makes “contributions to the acquisition of property of the community property estate to the extent the party traces the contributions to a separate property source.” (§ 2640, subd. (b).) This additional stipulation further indicates the parties’ shared belief that Husband contributed funds to the purchase of community property, rather than buying his own separate property interest in the La Madrona property.

Based on the above, we find the trial court erred in characterizing La Madrona as part Husband’s separate property and part community property. We further find this error to be prejudicial to Husband, as there is insufficient information to know how the mischaracterization affected the determination of Husband’s share of the proceeds from the sale of the property and his ability to be reimbursed for his separate property contribution. We will reverse the Judgment accordingly and remand the matter to the trial court to properly characterize the La Madrona property as a wholly community asset, and to consider the effect of that characterization on Husband’s reimbursement under section 2640.

E. Husband Forfeited His Argument re: Characterization of Equalization Payment
F.
The trial court found the $600,000 Husband paid Wife as an equalization payment under the Agreement to be presumptively from community funds, such that it ordered Wife to reimburse Husband only half of the payment. Husband argues the trial court incorrectly applied the presumption, as Husband made the payment after separation. Even if the presumption applied, Husband contends he overcame the presumption with evidence the $600,000 came from a separate property source.

Although the trial court characterized the $600,000 payment as presumptively community property in its October 2016 proposed statement of decision, Husband did not object on that basis in his written objections to the proposed statement. As we have previously explained, the appellate court “will ordinarily not consider procedural defects or erroneous rulings where an objection could have been, but was not raised below.” (Falcone & Fyke, supra, 164 Cal.App.4th at p. 826; see section II(A)(3) & (B), ante.) While the facts underlying the La Madrona issue were not disputed, the facts concerning the court’s characterization of the $600,000 payment were. Whereas the parties stipulated on the record La Madrona was a community property, there is no such agreement regarding the $600,000 payment. In fact, at the outset of the trial, the parties identified their dispute regarding the property: Wife argued it was a community asset subject to a “loan that needs to be canceled”; Husband argued it was Wife’s property subject to reimbursement for the equalization payment. The parties presented evidence and argument in support of their contentions. Given that the facts surrounding the source of the $600,000 payment were in dispute, and Husband failed to object to the trial court’s characterization of the funds as coming from a presumptively community source, we find he forfeited this argument on appeal.

G. The Court Did Not Err in Denying Epstein Credits
H.
Husband argues the trial court abused its discretion in denying his request for Epstein credits related to the parties’ various real properties, contending he presented uncontroverted evidence supporting his claim. “ ‘Where, as here, the trial court is vested with discretionary powers, we review its ruling for an abuse of discretion. [Citation.] As long as the court exercised its discretion along legal lines, its decision will be affirmed on appeal if there is substantial evidence to support it. [Citation.] . . .’ ” (In re Marriage of Geraci (2006) 144 Cal.App.4th 1278, 1286; see In re Marriage of Hebbring (1989) 207 Cal.App.3d 1260, 1272.)

In arguing the trial court abused its discretion, Husband focuses on the belief he presented sufficient evidence to prove he made payments on community property debts with separate property funds after the date of separation, claiming Wife did not provide any contradictory evidence. Husband does not include significant discussion of the trial court’s basis for ruling as it did; in its Judgment, the court makes it clear it denied Husband’s request based on its finding that he lacked credibility and failed to produce credible evidence in support of his claims. This finding significantly impacts how we review the matter on appeal.

“The trial court sits as trier of fact and it is called upon to determine that a witness is to be believed or not believed. This is the nature of fact finding. ‘The trier of fact is the sole judge of the credibility and weight of the evidence . . . .’ [Citation.]” (In re Marriage of Greenberg (2011) 194 Cal.App.4th 1095, 1099 (Greenberg).) “In that role, the judge may reject any evidence as unworthy of credence, even uncontradicted testimony. [Citation.]” (Falcone & Fyke, supra, 203 Cal.App.4th at p. 979.) “We do not judge credibility on appeal. An adverse factual finding is a poor platform upon which to predicate reversible error.” (In re Marriage of Boswell (2014) 225 Cal.App.4th 1172, 1175, citing Greenberg, supra, at p. 1097.)

In reviewing the trial court’s decision, we do not replace the court’s exercise of discretion with our own by accepting evidence the court rejected; we are required to uphold the judgment if any substantial evidence supports the court’s decision, without consideration of whether there also exists substantial evidence to support Husband’s position. The credibility of Husband’s testimony and evidence was part of the court’s decision and thus not for us to judge in the first instance. (In re Marriage of Calcaterra and Badakhsh (2005) 132 Cal.App.4th 28, 34.) The trial court found Husband’s testimony and evidence to be unreliable.

In particular, the court determined Husband presented untrustworthy documentary evidence to the court, in the form of the notes offered to support his claim that his family loaned him money to maintain the community assets after separation. The court found that the form used to prepare the notes was not in print until after the date the notes were purportedly signed. Not only did the trial court find it could not accept the “legitimacy” of the notes, it determined Husband “deliberately presented these documents in an attempt to deceive [the] Court into believing that the notes were prepared and executed on the dates indicated on the notes, knowing that they were in fact prepared well after the dates indicated on the notes.” “The evidence convinces this court that, [Husband’s] testimony notwithstanding, the money received from his family was either in the nature of a series of gifts, for which no repayment has been or will be made, or was received as a series of no interest loans. There is no evidence that [Husband] has ever paid any amounts to repay or service those loans.” In response to Husband’s objection to the court’s credibility finding, the court correctly stated the law on this issue. “[T]he trier of fact may disregard all of the testimony of a party, whether contradicted or uncontradicted, if it determines that he testified falsely as to some matters covered by his testimony (Nelson v. Black, 43 Cal.2d 612, 275 P.2d 473).” (Halagan v. Ohanesian (1967) 257 Cal.App.2d 14, 21; accord Christ v. Schwartz (2016) 2 Cal.App.5th 440, 455.) Given that the trial court found Husband not credible on the subject of the alleged notes from his family, it was entitled to reject Husband’s testimony regarding other subjects.

Whether we might have reached a different conclusion is not material, as we are not permitted to reweigh the evidence. It is the family court in the first instance which “sits as trier of fact and . . . is called upon to determine that a witness is to be believed or not believed. This is the nature of fact finding.” (Greenberg, supra, 194 Cal.App.4th at p. 1099.) We must view such determinations in favor of the order. (In re Marriage of Slivka (1986) 183 Cal.App.3d 159, 162-163.) As the trial court gave a rational explanation for its view of Husband’s credibility and for the conclusions it drew from the facts presented, we have no basis for finding an abuse of discretion in denying Husband’s request for Epstein credits under these circumstances.

V. DISPOSITION
VI.
We reverse the Judgment and remand the matter to the trial court to vacate the finding that the La Madrona property is partially Husband’s separate property. The court shall enter a new order designating the La Madrona property as wholly community property and shall calculate the reimbursement owed to Husband for his separate property contribution to the purchase of that property based on that characterization.

_______________________________

Greenwood, P.J.

WE CONCUR:

______________________________________

Grover, J.

______________________________________

Danner, J.

Oliverez v. Oliverez

No. H044451

ARTURO SOLORZANO v. CITY OF LYNWOOD

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Filed 2/28/19 Solorzano v. City of Lynwood CA2/1

NOT TO BE PUBLISHED IN THE OFFICIAL REPORTS

California Rules of Court, rule 8.1115(a), prohibits courts and parties from citing or relying on opinions not certified for publication or ordered published, except as specified by rule 8.1115(b). This opinion has not been certified for publication or ordered published for purposes of rule 8.1115.

IN THE COURT OF APPEAL OF THE STATE OF CALIFORNIA

SECOND APPELLATE DISTRICT

DIVISION ONE

ARTURO SOLORZANO,

Plaintiff and Appellant,

v.

CITY OF LYNWOOD,

Defendant and Respondent.

B278913

(Los Angeles County

Super. Ct. No. BC582180)

APPEAL from a judgment of the Superior Court of Los Angeles, Ruth A. Kwan, Judge. Affirmed.

Law Offices of Helena Sunny Wise and Helena Sunny Wise for Plaintiff and Appellant.

Leech Tishman Fuscaldo & Lampl, Inc., Philip A. Toomey, and Eric J. Wu for Defendant and Respondent.

_________________________

Plaintiff Arturo Solorzano, an employee of defendant City of Lynwood, sued defendant for retaliating against him for activities protected under Labor Code section 1102.5 (whistleblower statute) and the Fair Employment and Housing Act (FEHA). Those activities included plaintiff ’s disclosing violations of defendant’s business licensing requirements, complaining that these requirements were not uniformly enforced, and serving as a witness in the internal investigation of his coworker’s discrimination charges. The trial court sustained defendant’s demurrer to plaintiff ’s fourth amended complaint without leave to amend.

We conclude plaintiff failed to state a timely, cognizable whistleblower cause of action because either the claims of retaliatory conduct underlying that cause of action are time-barred or plaintiff has failed to plead an adverse employment action or causation adequately. Regarding his FEHA cause of action, we conclude plaintiff failed to state sufficient facts that his participation in the investigation of his coworker’s disability discrimination charges caused defendant to retaliate against him or resulted in an adverse employment action. Finally, we conclude the trial court did not abuse its discretion in not granting plaintiff leave to amend because plaintiff has not properly identified additional facts, if any, that could cure these defects after plaintiff filed several iterations of his complaint.

Accordingly, we affirm.

FACTUAL BACKGROUND

We set forth below the background facts alleged in plaintiff ’s fourth amended complaint. We describe in our discussion section the facts specific to the issues analyzed in that section.

Plaintiff worked as a business license specialist for defendant. In that role, plaintiff was responsible for ensuring that local businesses complied with defendant’s business licensing laws. He frequently discussed his findings with defendant’s business licensing division manager, Jonathan Colin. Several businesses in City Councilmember Maria Santillan’s district complained to plaintiff that defendant had given preferential treatment to other businesses in that district. Plaintiff then transmitted those complaints to his coworkers and Colin.

Colin and Santillan were romantically involved and met frequently in Colin’s office. Santillan and Rita Manibusan, who was “in charge of Code Enforcement,” were childhood friends, and Manibusan contributed to Santillan’s political campaigns. Director of Redevelopment Services Sarah Withers pressured plaintiff to amend his grant deed to his home in connection with the Lynwood Redevelopment Agency’s Redwood Project in what plaintiff believed to be an attempt to extort money from him.

Subsequently, while performing a routine inspection, plaintiff discovered that a commercial truck repair business, F Trucking, was operating illegally, and reported his discovery to his supervisors and coworkers. Plaintiff also discovered that a dental office had failed to grade its land, which discovery plaintiff also reported.

Plaintiff “protested” that defendant failed to enforce applicable laws to Clerk Maria Quinonez, City Manager Roger Haley, Interim City Manager Richard Warne, and Human Resources Directors Alfredo Lopez, Robert Blackwood, and Haydee Sainz. Plaintiff further spoke out about that issue in “Community forums” around the time of the November 2013 election. Later, F-Trucking employees threatened plaintiff at Colin’s and Manibusan’s urging.

Plaintiff also participated as a witness in defendant’s internal investigation of the disability discrimination claims brought by plaintiff ’s colleague, Cynthia Foreman (the Foreman investigation). Specifically, plaintiff gave testimony that corroborated Foreman’s claims to investigators whom defendant had hired to conduct that investigation. Additionally, plaintiff complained that Manibusan mocked his accent, and that two African-American coworkers experienced race discrimination.

Santillan, Manibusan, Withers (who had become an acting city manager), City Manager Arnoldo Beltran, and others conspired to retaliate against plaintiff because of his whistleblowing activities and participation in the Foreman investigation.

Plaintiff alleges defendant retaliated against him when it: (1) deprived him of overtime, promotional opportunities, vacation accrual, an alternate work schedule, training, out-of-class pay, and his “request for confidentiality” concerning his vehicle; (2) required plaintiff to undergo unnecessary training; (3) investigated false charges against plaintiff concerning his conduct regarding the El Pollo Body Shop, and later revived that investigation; (4) placed him on paid administrative leave pending the renewed investigation; (5) improperly reviewed plaintiff ’s personnel file; (6) solicited allegations of misconduct against plaintiff; (7) issued (and later rescinded) layoff notices; (8) eliminated plaintiff ’s position; and (9) consolidated plaintiff ’s department with two other departments. Because of that consolidation, defendant moved plaintiff to the code enforcement department, but did not provide him with code enforcement training.

Plaintiff filed (1) an administrative complaint with the Department of Fair Employment and Housing (DFEH) for retaliation based on his participation in the Foreman investigation, (2) a government claim based on his whistleblowing activities, and (3) a grievance seeking out-of-classification pay for having performed senior business license specialist duties, which grievance Beltran denied.

PROCEDURAL BACKGROUND

In his initial complaint, filed on May 18, 2015, plaintiff sued defendant, Santillan, and Manibusan for (1) whistleblower retaliation (Lab. Code, § 1102.5), (2) retaliation under FEHA (Gov. Code, § 12940), and (3) federal civil rights violations (42 U.S.C. § 1983). Defendant and Santillan removed the action to federal court, which dismissed the federal civil rights cause of action and remanded the remaining claims to the superior court.

Several demurrers and amendments ensued in superior court, culminating in the operative fourth amended complaint. In that complaint, plaintiff asserted his two retaliation claims against defendant only. The superior court sustained defendant’s demurrer to that complaint without leave to amend, declined to rule on defendant’s then pending summary judgment motion as moot, and entered a judgment of dismissal. Specifically, the trial court ruled as to plaintiff ’s claims of retaliation that they were either time-barred or lacked sufficient allegations of an adverse employment action, or that his activities caused any purported adverse employment action. Plaintiff timely appealed that judgment.

STANDARD OF REVIEW

“In reviewing an order sustaining a demurrer, we examine the operative complaint de novo to determine whether it alleges facts sufficient to state a cause of action under any legal theory.” (T.H. v. Novartis Pharmaceuticals Corp. (2017) 4 Cal.5th 145, 162 (T.H.).) We “adopt[ ] a liberal construction of the pleading and draw[ ] all reasonable inferences in favor of the asserted claims.” (Candelore v. Tinder, Inc. (2018) 19 Cal.App.5th 1138, 1143.) “[W]e accept as true all properly pleaded facts.” (T.H., supra, 4 Cal.5th at p. 156.) “[W]e are not[, however,] required to accept the truth of [the pleading’s] legal conclusions.” (Yhudai v. IMPAC Funding Corp. (2016) 1 Cal.App.5th 1252, 1257.) Additionally, “[t]he limited and statutory nature of governmental liability mandates that claims against public entities be specifically pleaded.” (Brenner v. City of El Cajon (2003) 113 Cal.App.4th 434, 439.)

We review the trial court’s denial of leave to amend a defective pleading for abuse of discretion. (Phoenix Mechanical Pipeline, Inc. v. Space Exploration Technologies Corp. (2017) 12 Cal.App.5th 842, 846.) “If the complaint does not state facts sufficient to constitute a cause of action, the appellate court must determine whether there is a reasonable possibility that the defect can be cured by amendment.” (Id. at p. 847.)

DISCUSSION

A. Plaintiff ’s Whistleblower Claim Fails Because He Does Not Allege Adequately A Timely, Cognizable Adverse Employment Action or Causation
B.
To state a prima facie case of whistleblower retaliation under Labor Code section 1102.5, subdivision (b), “ ‘a plaintiff must show (1) . . . engage[ment] in a protected activity, (2) [the plaintiff ’s] employer subjected [the plaintiff] to an adverse employment action, and (3) there is a causal link between the two.’ ” (Mokler v. County of Orange (2007) 157 Cal.App.4th 121, 138 (Mokler).)

An adverse employment action is an employer’s conduct “that materially affects the terms, conditions, or privileges of employment.” (Yanowitz v. L’Oreal USA, Inc. (2005) 36 Cal.4th 1028, 1051 (Yanowitz).) “Minor or relatively trivial adverse actions by employers or fellow employees that, from an objective perspective, are reasonably likely to do no more than anger or upset an employee do not materially affect the terms or conditions of employment. [Citation.] But the terms or conditions of employment ‘must be interpreted liberally and with a reasonable appreciation of the realities of the workplace [to further the fundamental anti[retaliation] purposes of the [whistleblower statute]].’ ” (Patten v. Grant Joint Union High School Dist. (2005) 134 Cal.App.4th 1378, 1387 (Patten).)

The requisite “ ‘ “causal link may be established by an inference derived from circumstantial evidence, ‘such as the employer’s knowledge that the [employee] engaged in protected activities and the proximity in time between the protected action and allegedly retaliatory employment decision.’ ” [Citation.]’ [Citation.] ‘Essential to a causal link is evidence that the employer was aware that the plaintiff had engaged in the protected activity.’ ” (Morgan v. Regents of University of California (2000) 88 Cal.App.4th 52, 69-70 (Morgan).)

1. All plaintiff ’s claims of retaliation occurring before January 24, 2014 are time-barred
2.
Plaintiff does not dispute that because defendant is a public entity, he was required to present a government claim no later than six months after the accrual of his whistleblower retaliation cause of action for his claim to be timely. (Gov. Code, § 911.2, subd. (a) [six-month limit for cause of action for death or for injury to person or personal property, one year for all other claims]; Moore v. Twomey (2004) 120 Cal.App.4th 910, 913 [specific statute of limitations provided in Government Code governs lawsuit against public entity]; Collins v. County of Los Angeles (1966) 241 Cal.App.2d 451, 460 [strict compliance required]; Colores v. Board of Trustees (2003) 105 Cal.App.4th 1293, 1320 (Colores) [government claim filed on January 5, 1999 timely where cause of action accrued after July 5, 1998, in particular, on November 20, 1998]; cf. Rodriguez v. Cho (2015) 236 Cal.App.4th 742, 754–755 [whistleblower claim not for personal injury for purposes other than statute of limitations].) A whistleblower cause of action accrues at the time of the adverse employment action. (See, e.g., Colores, at p. 1320 [cause of action accrued when employment terminated].)

As alleged in the fourth amended complaint, the following purported adverse employment actions occurred before January 24, 2014: (1) The city attorney and director of redevelopment services pressured plaintiff to tender and amend the grant deed to his home and pay $100,000 to the Lynwood Redevelopment Agency, which plaintiff viewed as extortion (2006 and January 2010); (2) a source whom plaintiff does not identify tendered a complaint accusing plaintiff of misconduct concerning an auto body shop’s fraud, and an investigation ensued (complaint tendered February 26, 2010, investigation concluded August 26, 2010 or February 2011); (3) Santillan, Colin, and Manibusan caused plaintiff to be threatened with demotion and increased scrutiny (fall 2010); (4) defendant denied plaintiff code enforcement training the first of two times (October 2010); (5) Colin sought to reduce plaintiff ’s pay and to impose mandatory performance reviews (October 26, 2010); (6) defendant required plaintiff to take an ethics class (spring 2011); (7) Manibusan and Colin refused to allow plaintiff to work overtime (starting March 2011 through July 2012); (8) city representatives urged F Trucking to threaten plaintiff physically (fall 2012); (9) Colin and Manibusan refused plaintiff ’s requests to work an alternate work schedule (July 2012); (10) defendant did not allow plaintiff to accrue vacation time or cash out his excess vacation time that exceeded the cap on accrued vacation time, causing plaintiff to lose that accrued time (fall 2011 through January 2013); (11) Colin and Manibusan urged F-Trucking to accuse plaintiff falsely of misconduct (around February 20, 2013); (12) Santillan and Manibusan accessed plaintiff ’s personnel file (January 12, 2014); (13) at Santillan and Manibusan’s urging, defendant renewed an investigation of allegations of misconduct against plaintiff (January 14, 2014); (14) defendant placed plaintiff on administrative leave for more than one month, pending the renewed investigation (January 14, 2014); and (15) defendant did not “post” the position of senior business license specialist, thus denying plaintiff the ability to compete for a promotion to that position (January 14, 2014).

Plaintiff presented his government claim on July 24, 2014. Thus, the adverse employment actions he alleges that occurred before January 24, 2014 would be time-barred on their face. Plaintiff argues that the continuing violation doctrine resuscitates these claims. (Jumaane v. City of Los Angeles (2015) 241 Cal.App.4th 1390, 1402 (Jumaane).) We disagree.

For the continuing violation doctrine to apply, an employee must prove that the otherwise untimely adverse action was “(1) similar or related to the conduct that occurred within the limitations period [here between January 24, 2014 and July 24, 2014]; (2) the conduct was reasonably frequent; and (3) the conduct had not yet become permanent.” (Jumaane, supra, 241 Cal.App.4th at p. 1402.)

In connection with this analysis, “a temporally related and continuous course of conduct” may constitute an adverse employment action. (Yanowitz, supra, 36 Cal.4th at p. 1058.) Nevertheless, in the context of an ongoing proceeding, “ ‘permanence’ properly should be understood to mean ‘that an employer’s statements and actions make clear to a reasonable employee that any further efforts at informal conciliation . . . will be futile.’ ” (Id. at p. 1059, fn. 19, citing Richards v. CH2M Hill, Inc. (2001) 26 Cal.4th 798, 823.)

For example, in Yanowitz, the plaintiff refused to follow a discriminatory directive in fall 1997. Then, in April, May, June, and July 1998, the defendant employer solicited negative feedback from the plaintiff ’s subordinates, continued to refuse those subordinates’ administrative needs, engaged in unfounded criticism and humiliation of the plaintiff in those subordinates’ presence, issued a false negative written evaluation to the plaintiff, and refused the plaintiff time to respond to that evaluation. (Yanowitz, supra, 36 Cal.4th at p. 1059.) By consistently criticizing the plaintiff ’s performance every month for four consecutive months, the defendant employer committed a continuing violation.

Here, unlike in Yanowitz, plaintiff alleges numerous incidents predating January 24, 2014 and fails to allege how these incidents are related to conduct that occurred during the limitations period or why they did not achieve permanence before that period even commenced. Plaintiff asserts that the alleged facts “show[ ] a remarkable similarity” and constitute “continuous harassment,” but provides no explanation or citation to particular allegations. (See City of Santa Maria v. Adam (2012) 211 Cal.App.4th 266, 287 [“[W]e may disregard conclusory arguments that are not supported by pertinent legal authority or fail to disclose the reasoning by which the appellant reached the conclusions he wants us to adopt.”].)

The crux of plaintiff ’s assumption that the aforementioned actions were continuous or related is based on his “belie[f] that a conspiracy was formed several years ago” “to destroy” him. Plaintiff ’s mere belief is insufficient to establish a continuous pattern of adverse actions. (See Yanowitz, supra, 36 Cal.4th at p. 1046 [“Standing alone, an employee’s unarticulated belief . . . will not suffice . . . for the purposes of establishing a prima facie case of retaliation”].) Plaintiff does not allege facts suggesting the alleged retaliators formed a plan to “destroy” him even though facts regarding forming a plan are essential to state a conspiracy. (See Applied Equipment Corp. v. Litton Saudi Arabia Ltd. (1994) 7 Cal.4th 503, 511 (Applied Equipment).) Additionally, plaintiff ’s allegation that Santillan was “closely aligned” with Beltran is conclusory and does not support his conspiracy theory.

Plaintiff asserts the “cat’s paw” theory makes the continuing violation doctrine applicable but does not explain that theory’s relevance to the statute of limitations. Indeed, the cat’s paw doctrine merely allows an inference of retaliatory animus where a significant participant in an employment decision has exhibited such animus. (See Husman v. Toyota Motor Credit Corp. (2017) 12 Cal.App.5th 1168, 1188 (Husman).)

Plaintiff argues he “has also alleged that leading up to the filing of his Tort Claim and DFEH Charges, internal efforts were resorted to, to avoid the necessity for a lawsuit.” Plaintiff then argues equitable tolling preserves otherwise time-barred claims. Plaintiff provides no citation to these purported allegations or analysis of how any such allegations support application of the equitable tolling doctrine. He cites a case (McDonald v. Antelope Valley Community College Dist. (2008) 45 Cal.4th 88, 108) involving FEHA’s administrative exhaustion requirement. Plaintiff does not apply that case to any alleged facts or explain why it is applicable to an analysis of the statute of limitations on his whistleblower claim, which is governed by the Government Code. To the extent he may be basing his equitable tolling argument on Foreman’s grievance proceeding, the doctrine would apply, if at all, to rescue Foreman’s claims but not plaintiff ’s causes of action.

In sum, plaintiff ’s claims based on conduct predating January 24, 2014 are time-barred.

2. Plaintiff failed to allege sufficiently an adverse employment action or causation as to the remaining alleged acts of retaliation for his whistleblowing

Plaintiff alleges the following adverse actions postdating the filing of his government claim on July 24, 2014: (1) Withers embarrassed and degraded plaintiff (July 29, 2014); (2) defendant threatened plaintiff ’s employment (since July 24, 2014); (3) Beltran “interrogated [plaintiff] concerning [plaintiff ’s] work experience and Business License practices existing in the City of Lynwood” (December 8, 2014); (4) Beltran denied plaintiff out-of-classification pay (December 18, 2014); (5) defendant issued plaintiff a layoff notice following a motion by Santillan to consolidate the business license and code enforcement departments (May 26 and 28, 2015); (6) defendant did not allow plaintiff to apply for a promotion to the public safety manager position; (7) “Beltran and his colleagues” denied plaintiff code enforcement training (sometime after May 28, 2015); (8) defendant solicited accusations of misconduct against plaintiff from an ice cream vendor and investigated plaintiff for embezzlement (March 2016); and (9) defendant refused plaintiff ’s “request for confidentiality” (“recently”).

For the reasons detailed below, these allegations do not state a claim of retaliation because plaintiff fails to plead with the required particularity that those actions (1) materially affected the terms, conditions, or privileges of his employment, or (2) resulted from his alleged whistleblowing activity. (See (Patten, supra, 134 Cal.App.4th at p. 1387.)

a. Withers embarrassed and degraded plaintiff
b.
Plaintiff states Withers “openly embarrassed and degraded [his] skills and abilities” at a July 29, 2014 meeting with plaintiff and sheriff ’s department representatives. He further states that conduct “tarnished [his] good name,” thus causing him physical and emotional distress.

Plaintiff does not allege how Withers embarrassed and degraded him or what she said, if anything, to do so. Plaintiff avers no facts suggesting Withers continued to bear animus toward him for his refusal to amend his grant deed in 2006 and January 2010, which refusal is the alleged basis for her animus. The four-year temporal gap between plaintiff ’s latest refusal to amend his grant deed, and Withers’ embarrassing and degrading him is too great to support an inference of causation. (Flait v. North American Watch Corp. (1992) 3 Cal.App.4th 467, 478 (Flait).)

c. Defendant threatened plaintiff ’s employment
d.
Plaintiff alleges in conclusory fashion that defendant threatened his employment since he filed his government claim on July 24, 2014. Plaintiff does not identify any threat to his employment. We acknowledge plaintiff alleges Beltran “interrogated [plaintiff] concerning [plaintiff ’s] work experience and Business License practices existing in the City of Lynwood” and denied plaintiff out-of-classification pay. Plaintiff does not explain how these actions constituted threats to his employment. Plaintiff also omitted the “ ‘essential’ ” allegation that Beltran knew of plaintiff ’s government claim. (Morgan, supra, 88 Cal.App.4th at p. 70.)

e. Beltran “interrogated” and intimidated plaintiff
f.
As set forth above, plaintiff alleges that on December 8, 2014, Beltran “interrogated” him. Plaintiff does not cite what, if anything, Beltran said or did that constitutes an “interrogation.” As noted above, he has not alleged any facts supplying a causal connection between this “interrogation” and any protected activity.

g. Beltran denied plaintiff out-of-classification pay
h.
Plaintiff alleges that on December 18, 2014, Beltran denied plaintiff ’s “Grievance seeking out-of-classification pay for having performed the work of a Senior Business License Specialist.” Plaintiff also alleges that in summer 2013, the city council “publicly noted that [plaintiff] had been functioning in said capacity without benefit of additional remuneration for years.” These allegations are insufficient because plaintiff does not allege that he was entitled by law, policy, or any other authority to such pay, who made these notations in 2013, or whether Beltran was even aware of the notations given that plaintiff alleges Beltran had not “joined the City of Lynwood” until October 21, 2014.

i. Defendant issued plaintiff a layoff notice
j.
On May 26, 2015, Santillan introduced a motion to issue layoff notices and eliminate the business license specialist position, which position plaintiff then held. The city council passed that motion two days later, and plaintiff received a layoff notice. Plaintiff, however, does not allege that Santillan knew of his alleged whistleblowing or that she had expressed animus because of plaintiff ’s whistleblowing. We observe that animus cannot simply be inferred based on temporal proximity because the last time plaintiff complained about a code violation was in early December 2013, which date is over a year before plaintiff received the layoff notice. (Flait, supra, 3 Cal.App.4th at p. 478.) Additionally, plaintiff made that complaint to Interim City Manager Warne, but plaintiff does not allege Warne communicated the complaint to Santillan. Although plaintiff spoke out at “Community forums” around the November 2013 election, he does not allege Santillan was present at those forums or knew of plaintiff ’s activities there. Further, as set forth above, plaintiff states insufficient facts of a conspiracy involving Santillan. Thus, plaintiff does not allege a connection between his whistleblowing and the layoff notice.

k. Defendant did not allow plaintiff to apply for the public safety manager position
l.
Plaintiff alleges defendant refused to permit him to bid competitively for the public safety manager position. Plaintiff fails to allege how defendant did so, who was involved in that decision, whether anyone involved in that decision knew of his alleged whistleblowing, or that he was qualified for the position. (See, e.g., Morgan, supra, 88 Cal.App.4th at p. 73 [retaliatory motive lacking where plaintiff failed to demonstrate qualifications for particular jobs]; Addy v. Bliss & Glennon (1996) 44 Cal.App.4th 205, 216 (Addy) [no prima facie case of failure to promote based on discrimination where plaintiff failed to show she was qualified for position].) Plaintiff also does not allege, as a threshold matter, that there ever was a “competitive bidding” process for that position.

m. Beltran and his colleagues denied plaintiff code enforcement training and required plaintiff to complete unnecessary “Penal Code 832 training”
n.
Plaintiff claims that in March 2016, Beltran improperly scheduled him for “Penal Code 832 training” knowing that plaintiff was already “Post-certified.” The temporal gap between this event (March 2016) and the final instance of plaintiff ’s alleged whistleblowing (December 2013) is too great to support an inference that Beltran’s scheduling of these trainings was the product of plaintiff ’s whistleblowing activities. (Flait, supra, 3 Cal.App.4th at p. 478.)

Plaintiff alleges that Beltran and his colleagues did not let him take code enforcement training but offered that training to non-complaining employees. He does not allege with particularity when or which colleagues denied him that training. He does not allege he ever requested the training, defendant ever promised him the training, or that the training was scheduled or otherwise available around the time plaintiff desired it. (See, e.g., Light v. Department of Parks & Recreation (2017) 14 Cal.App.5th 75, 93 [denial of promised training may be adverse action depending on circumstances].) Finally, plaintiff does not allege any consequence resulting from the lack of training other than stating his conclusion that it “adversely affect[s] his skills and abilities.” Plaintiff ’s conclusory allegations are simply devoid of any connection between protected activity and a cognizable adverse employment action.

o. Defendant solicited accusations of misconduct against plaintiff from ice cream vendors
p.
Plaintiff alleges that starting in March 2016, Santillan and another councilmember “conspired with commercial proprietors, vendors and residents alike to bolster false accusations” of embezzlement against him. As set forth earlier, plaintiff ’s conspiracy allegations are deficient because he alleges no facts that establish the formation of a plan. (See Applied Equipment, supra, 7 Cal.4th at p. 511.) Plaintiff also avers defendant solicited accusations from ice cream vendors in particular but does not identify anyone who prompted or engaged in that solicitation. Plaintiff does not state facts suggesting anyone involved with these solicitations continued to harbor animus toward him for whistleblowing. The lack of temporal proximity between the solicitations occurring in March 2016, and the date plaintiff last complained about violations of law in early December 2013 would not allow such an inference. (Flait, supra, 3 Cal.App.4th at p. 478.)

q. Defendant refused plaintiff ’s “request for confidentiality”
r.
Plaintiff alleges no basis for his being “entitled to maintain confidentiality of his home address in connection with his DMV issued license plate.” Plaintiff ’s conclusory allegation that defendant’s denial of his “request for confidentiality for a used vehicle [he had] recently purchased” “aggravat[ed defendant’s] actions” and compromised plaintiff ’s and his family’s emotional wellbeing is insufficient to state an adverse employment action or any causal connection to plaintiff ’s whistleblowing activities.

In sum, as to actions postdating the limitations period, plaintiff has not sufficiently alleged an adverse employment action caused by his whistleblowing conduct.

C. Plaintiff ’s FEHA Cause Of Action Fails Because He Does Not Allege His Participation In The Foreman Investigation Caused An Adverse Employment Action
D.
To establish a prima facie claim of retaliation under FEHA, plaintiff must show: (1) he engaged in a protected activity; (2) he was subjected to an adverse employment action; and (3) there is a causal link between the protected activity and adverse employment action. (Steele v. Youthful Offender Parole Bd. (2008) 162 Cal.App.4th 1241, 1252.)

Protected activities under FEHA include opposing “any practices forbidden under [FEHA]” and testifying or assisting “in any proceeding under [FEHA].” (Gov. Code, § 12940, subd. (h).) Thus, the essential difference between whistleblower retaliation and retaliation under FEHA is, under FEHA, protected activities are limited to opposing or complaining about discrimination or harassment against an employee based on the employee’s protected status, such as race and physical or cognitive disability. (Id., subd. (a).) Otherwise, the standards for adverse employment actions and causation are essentially the same. (See Patten, supra, 134 Cal.App.4th at p. 1388 [applying Yanowitz, supra, 36 Cal.4th 1028 to Labor Code section 1102.5, subdivision (b)].)

1. Plaintiff ’s allegations of protected activities under FEHA
2.
Plaintiff alleges that, starting in August 2013 “and thereafter for the next several months,” he reported Manibusan and Colin were discriminating against and harassing Foreman based on Foreman’s disability. Specifically, he alleges he reported to Human Resources Directors Blackwood and Sainz that Foreman was receiving different treatment regarding overtime, promotional opportunities, and area assignments. On December 6, 2013, Foreman identified plaintiff to outside investigator Donna Evans as a witness of that purported differential treatment. From fall 2013 through April 2014, plaintiff gave testimony corroborating Foreman’s claims to Sainz, Warne, Evans, and Evans’ assistants. Sometime after April 2014, plaintiff met with two investigators of an outside investigation firm to whom he also corroborated Foreman’s claims. Significantly, plaintiff does not allege Manibusan or Colin knew of plaintiff ’s participation in the Foreman investigation.

Defendant does not dispute that these facts describe protected activity.

3. Plaintiff fails to state sufficient facts that could establish causation or an adverse employment action in connection with his participation in the Foreman investigation
4.
Plaintiff alleges the following four adverse employment actions by defendant regarding his participation in the Foreman investigation: (1) placing him on administrative leave in January 2014; (2) issuing a layoff notice; (3) depriving him of promotional opportunities; and (4) depriving him of overtime opportunities.

a. Reopening investigation into allegations of misconduct against plaintiff and placement on administrative leave
b.
Plaintiff alleges that, in or about March 2010, defendant began investigating allegations of misconduct against him concerning the El Pollo Body Shop. That investigation concluded in February 2011. In January 2014, defendant reopened that investigation and placed plaintiff on paid administrative leave pending the renewed investigation. Defendant closed that investigation and cleared plaintiff of those charges in March 2014.

Plaintiff alleges a mere conclusion, to wit, the renewed investigation was retaliation for his participation in the Foreman investigation. He, however, alleges in support of this conclusion that Santillan and Manibusan manufactured false allegations against him to prompt the investigation’s renewal because they were upset with him for reporting their mishandling of certain licensing fees. Thus, plaintiff attributes the investigation’s renewal and administrative leave placement to his reporting business licensing violations, not to the Foreman investigation, and fails to allege facts supporting an inference that defendant’s renewing the investigation against him was the product of his support of Foreman’s claims.

c. Issuing layoff notices
d.
Plaintiff alleges that defendant issued a layoff notice to him on May 28, 2015. He fails to link that notice causally to his participation in the Foreman investigation. He does not allege facts supporting an inference that defendant singled him out for a layoff. The 13-month temporal gap between the latest date of plaintiff ’s participation in the Foreman investigation (April 2014) and issuance of the layoff notices (May 2015) is too remote to warrant an inference of causation. (Flait, supra, 3 Cal.App.4th at p. 478.)

Finally, plaintiff states that one of his alleged retaliators, Santillan, introduced the motion to authorize the layoff notices to the city council, but he does not state the “ ‘essential’ ” allegation that Santillan knew of his participation in the Foreman investigation when she did so. (Morgan, supra, 88 Cal.App.4th at p. 70.) Thus, we fail to discern how the layoff notice constitutes actionable conduct.

e. Being deprived of promotional opportunities for senior business license specialist and public safety manager
f.
Plaintiff alleges that between January 2014 and June 17, 2014, defendant failed to post the senior business license specialist position “thus preventing [plaintiff] from applying.” Plaintiff fails to allege a causal link between this claim and his participation in the Foreman investigation.

There also is no allegation that anyone involved with the alleged postings or promotion decisions knew of plaintiff ’s participation in the Foreman investigation. (Cf. Husman, supra, 12 Cal.App.5th at p. 1188 [cat’s paw theory allows inference of causation where significant participant in employment decision exhibited animus].)

That plaintiff alleges the person in charge of the promotion to senior business license specialist, Withers, wanted to put her boyfriend into that position, does not supply facts to support a conclusion that plaintiff ’s participation in the Foreman investigation motivated defendant’s decision to “delete” or not “post” the position.

Finally, plaintiff fails to allege he was qualified for senior business license specialist or public safety manager. (See, e.g., Morgan, supra, 88 Cal.App.4th at p. 73 [retaliatory motive lacking where plaintiff failed to demonstrate qualifications for particular jobs]; Addy, supra, 44 Cal.App.4th at p. 216 [no prima facie case of failure to promote based on discrimination where plaintiff failed to show she was qualified for position].)

Plaintiff argues with no citation to the fourth amended complaint, that he was “slated for” promotion to senior business license specialist but does not allege any supporting facts beyond his conclusory opinion. Similarly, again with no citation to the fourth amended complaint, the argument that defendant had budgeted for the position does not provide the missing causal link. Plaintiff ’s allegation that defendant “ ‘deleted’ ” the senior business license position is uncognizable as well because plaintiff also alleges defendant did not “post” the position: Defendant cannot delete a position that was not posted.

To the extent plaintiff alleges “the council publicly noted that [plaintiff] had been functioning” as a senior business license specialist, plaintiff alleges no facts suggesting “the council” was involved in the promotion decision. (Capitalization omitted.) Additionally, by failing to identify the councilmember who made the aforementioned note, the allegation about that note is insufficient to plead causation.

g. Being deprived of overtime opportunities
h.
Plaintiff alleges that from March 2011 through July 2012, Manibusan and Colin refused to allow plaintiff to work overtime. The lost overtime opportunities logically lack causation because plaintiff ’s participation in the Foreman investigation postdates these purported denials of overtime opportunities. (Morgan, supra, 88 Cal.App.4th at p. 69 [plaintiff must show protected activity and “ ‘ “thereafter” ’ ” adverse employment action].) Specifically, the lost overtime opportunities occurred “[s]hortly after . . . March 2011” and “up through July 2012,” and plaintiff first reported Foreman’s disability discrimination charges in August 2013.

E. Plaintiff Does Not Demonstrate A Possibility Of Curative Amendment
F.
In broadly asserting that “a causal nexus . . . is apparent,” plaintiff cites the entire volume of evidence he submitted below in opposition to defendant’s summary judgment motion generally, without specifying any page, line, or paragraphs numbers. (Capitalization omitted.) Plaintiff also claims that Sainz’s declaration and deposition testimony conflict, thus “showing the existence of triable issues of fact.” Plaintiff, however, provides no explanation or specific citations to that evidence.

Plaintiff ’s assertions and record citations are insufficient to establish error because plaintiff “has the burden to prove [error] by presenting legal authority on each point made and factual analysis, supported by appropriate citations to the material facts in the record; otherwise, the argument may be deemed forfeited.” (Keyes v. Bowen (2010) 189 Cal.App.4th 647, 655.) “ ‘The absence of cogent legal argument or citation to authority allows this court to treat the contention as waived.’ ” (Cahill v. San Diego Gas & Electric Co. (2011) 194 Cal.App.4th 939, 956.)

To the extent plaintiff proffers more specific record citations, explanations, or theories in his reply, those proffers are too late. (Hurley v. Department of Parks & Recreation (2018) 20 Cal.App.5th 634, 648 [“ ‘ “Obvious reasons of fairness militate against consideration of an issue raised initially in the reply brief of an appellant.” ’ ”]

The trial court gave plaintiff multiple opportunities to correct the deficiencies in his pleading to no avail. We conclude the trial court did not abuse its discretion in sustaining defendant’s demurrer without leave to amend.

DISPOSITION

The judgment is affirmed. Defendant is awarded its costs on appeal.

NOT TO BE PUBLISHED.

BENDIX, J.

We concur:

ROTHSCHILD, P. J.

JOHNSON, J.

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